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SPC

Sigma Planning Corp Portfolio holdings

AUM $3.6B
1-Year Est. Return 24.57%
This Fund
S&P 500
This Quarter Est. Return
-3.05%
1 Year Est. Return
+24.57%
3 Year Est. Return
+69.88%
5 Year Est. Return
+82.98%
10 Year Est. Return
+301.75%
AUM
$2.67B
AUM Growth
-$117M
Cap. Flow
+$7.73M
Cap. Flow %
0.29%
Top 10 Hldgs %
22.23%
Holding
1,324
New
121
Increased
493
Reduced
556
Closed
129

Top Buys

Rank Stock Value
1
XAUG icon
FT Vest US Equity Enhance & Moderate Buffer ETF August
XAUG
+$11M
2
ABBV icon
AbbVie
ABBV
+$5.08M
3
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$4.55M
4
MOAT icon
VanEck Morningstar Wide Moat ETF
MOAT
+$3.89M
5
ABT icon
Abbott
ABT
+$3.79M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$5.16M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.76M
3
AZO icon
AutoZone
AZO
+$3.74M
4
TSLA icon
Tesla
TSLA
+$3.66M
5
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.53M

Sector Composition

Rank Sector Weight
1 Technology 11.22%
2 Healthcare 4.66%
3 Consumer Discretionary 4.34%
4 Financials 4.17%
5 Industrials 3.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MDNA
1101
DELISTED
Medicenna Therapeutics Corp. Common Shares
MDNA
$187K 0.01%
634,550
+329,250
+108% +$128K
LAC
1102
DELISTED
Lithium Americas Corp. Common Shares
LAC
$187K 0.01%
+10,995
New +$208K
MFC icon
1103
Manulife Financial
MFC
$72.6B
$186K 0.01%
+10,178
New +$192K
SCU
1104
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$185K 0.01%
+15,988
New +$175K
GOGL
1105
DELISTED
Golden Ocean Group
GOGL
$175K 0.01%
22,172
-595
-3% -$4.47K
ATOM icon
1106
Atomera
ATOM
$201M
$167K 0.01%
26,750
– –
PLUG icon
1107
Plug Power
PLUG
$2.92B
$166K 0.01%
21,876
+2,525
+13% +$24.7K
GBAB
1108
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
GBAB
$382M
$166K 0.01%
10,671
+252
+2% +$3.96K
GF
1109
New Germany Fund
GF
$184M
$159K 0.01%
19,446
– –
XRX icon
1110
Xerox
XRX
$337M
$157K 0.01%
10,014
-44,590
-82% -$704K
FSR
1111
DELISTED
Fisker Inc.
FSR
$156K 0.01%
24,289
-2,455
-9% -$14.9K
ONB icon
1112
Old National Bancorp
ONB
$10.1B
$153K 0.01%
10,523
-35
-0.3% -$542
MIY icon
1113
BlackRock MuniYield Michigan Quality Fund
MIY
$354M
$150K 0.01%
15,110
-1,912
-11% -$20.6K
BLE
1114
DELISTED
BlackRock Municipal Income Trust II
BLE
$150K 0.01%
16,359
– –
ETY icon
1115
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
$2.27B
$146K 0.01%
+12,638
New +$153K
CRK icon
1116
Comstock Resources
CRK
$3.97B
$146K 0.01%
13,202
+25
+0.2% +$295
FDD icon
1117
First Trust STOXX European Select Dividend Income Fund
FDD
$858M
$146K 0.01%
13,361
-11,779
-47% -$134K
IRT icon
1118
Independence Realty Trust
IRT
$3.92B
$143K 0.01%
10,168
-194
-2% -$3.2K
SJT
1119
San Juan Basin Royalty Trust
SJT
$117M
$141K 0.01%
20,333
+422
+2% +$3.04K
EZPW icon
1120
Ezcorp Inc
EZPW
$1.82B
$135K 0.01%
16,396
-317
-2% -$2.72K
HLN icon
1121
Haleon
HLN
$43.1B
$130K ﹤0.01%
15,590
+1,167
+8% +$9.72K
YYY icon
1122
Amplify CEF High Income ETF
YYY
$716M
$128K ﹤0.01%
+11,531
New +$134K
PCT icon
1123
PureCycle Technologies
PCT
$1.17B
$126K ﹤0.01%
22,507
+3,225
+17% +$30.2K
HTZ icon
1124
Hertz
HTZ
$572M
$125K ﹤0.01%
+10,207
New +$171K
PCN
1125
PIMCO Corporate & Income Strategy Fund
PCN
$870M
$125K ﹤0.01%
+10,273
New +$140K
43 44
45
46 47

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Sigma Planning Corp's Q3 2023 Portfolio in Review

As of Q3 2023, Sigma Planning Corp held 1,324 positions worth $2.67B, down 4.2% from $2.78B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp's Q3 2023 filing shows 121 new, 493 increased, 556 reduced and 129 closed positions. Its largest new stake was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M. The largest sale was Apple, an estimated $5.16M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 12% a quarter earlier, followed by Healthcare and Consumer Discretionary.

  • Sigma Planning Corp's largest Q3 2023 buy was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M.
  • Sigma Planning Corp added most to AbbVie in Q3 2023, an estimated $5.08M increase.
  • Sigma Planning Corp's biggest Q3 2023 reduction was Apple, cutting an estimated $5.16M.
  • Sigma Planning Corp fully exited FT Vest Gold Strategy Target Income ETF in Q3 2023, selling an estimated $2.89M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.67B portfolio in Q3 2023.
  • Sigma Planning Corp opened 121 new positions and closed 129 in Q3 2023.
  • Sigma Planning Corp's portfolio value fell 4.2% quarter-over-quarter to $2.67B.

Based on Sigma Planning Corp's 13F filing for Q3 2023, filed 6 Nov 2023.