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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
+2.4%
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
$3.18B
AUM Growth
-$79.9M
Cap. Flow
-$97.3M
Cap. Flow %
-3.05%
Top 10 Hldgs %
27.03%
Holding
1,277
New
66
Increased
498
Reduced
566
Closed
115

Top Buys

Rank Stock Value
1
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$5.36M
2
DUKQ
Ocean Park Domestic ETF
DUKQ
+$5.35M
3
SDVY icon
First Trust SMID Cap Rising Dividend Achievers ETF
SDVY
+$3.6M
4
MGOV icon
First Trust Intermediate Government Opportunities ETF
MGOV
+$2.91M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$2.77M

Top Sells

Rank Stock Value
1
FDEC icon
FT Vest US Equity Buffer ETF December
FDEC
+$16.3M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.68M
3
JANW icon
AllianzIM U.S. Equity Buffer20 Jan ETF
JANW
+$7.37M
4
FIXD icon
First Trust Smith Opportunistic Fixed Income ETF
FIXD
+$4.97M
5
AMZN icon
Amazon
AMZN
+$4.83M

Sector Composition

Rank Sector Weight
1 Technology 14.13%
2 Consumer Discretionary 4.56%
3 Financials 4.27%
4 Healthcare 3.68%
5 Industrials 3.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
B
1101
Barrick Mining
B
$62.2B
$179K 0.01%
11,560
-1,975
-15% -$35.9K
RCAT icon
1102
Red Cat Holdings
RCAT
$1.16B
$176K 0.01%
13,684
– –
EZPW icon
1103
Ezcorp Inc
EZPW
$1.82B
$175K 0.01%
14,356
-130
-0.9% -$1.54K
EFR
1104
Eaton Vance Senior Floating-Rate Fund
EFR
$311M
$172K 0.01%
13,415
+16
+0.1% +$206
FLG
1105
Flagstar Bank National Association
FLG
$5.77B
$171K 0.01%
18,334
-204
-1% -$2.23K
BBDC icon
1106
Barings BDC
BBDC
$862M
$171K 0.01%
17,861
+2,352
+15% +$23K
VSTS icon
1107
Vestis
VSTS
$2.06B
$163K 0.01%
10,674
-22
-0.2% -$331
CLSK icon
1108
CleanSpark
CLSK
$3.73B
$161K 0.01%
17,518
+1,865
+12% +$22.6K
AOD
1109
abrdn Total Dynamic Dividend Fund
AOD
$1.1B
$161K 0.01%
19,143
+5,691
+42% +$50K
APTO
1110
DELISTED
Aptose Biosciences, Inc.
APTO
$158K 0.01%
23,446
+10,054
+75% +$91.6K
GOGL
1111
DELISTED
Golden Ocean Group
GOGL
$156K ﹤0.01%
17,384
-1,921
-10% -$20.7K
UWMC icon
1112
UWM Holdings
UWMC
$621M
$144K ﹤0.01%
24,521
+24
+0.1% +$156
FDD icon
1113
First Trust STOXX European Select Dividend Income Fund
FDD
$858M
$142K ﹤0.01%
12,587
+734
+6% +$8.62K
SFL icon
1114
SFL Corp
SFL
$1.59B
$140K ﹤0.01%
13,669
-7,092
-34% -$75.7K
MORT icon
1115
VanEck Mortgage REIT Income ETF
MORT
$370M
$132K ﹤0.01%
12,450
– –
HL icon
1116
Hecla Mining
HL
$10.2B
$130K ﹤0.01%
26,389
+18
+0.1% +$108
ACTU
1117
Actuate Therapeutics
ACTU
$28.2M
$128K ﹤0.01%
+16,075
New +$131K
SCWO icon
1118
374Water
SCWO
$37.8M
$126K ﹤0.01%
18,396
+4,877
+36% +$60.2K
EVV
1119
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$120K ﹤0.01%
+12,289
New +$126K
PFLT icon
1120
PennantPark Floating Rate Capital
PFLT
$681M
$119K ﹤0.01%
+10,891
New +$122K
ICLN icon
1121
iShares Global Clean Energy ETF
ICLN
$2.38B
$116K ﹤0.01%
10,186
+72
+0.7% +$911
FSCO
1122
FS Credit Opportunities Corp
FSCO
$989M
$107K ﹤0.01%
15,732
– –
VMO icon
1123
Invesco Municipal Opportunity Trust
VMO
$647M
$105K ﹤0.01%
10,853
+44
+0.4% +$438
CLF icon
1124
Cleveland-Cliffs
CLF
$6.81B
$99.5K ﹤0.01%
10,585
-1,355
-11% -$16.3K
JPC icon
1125
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$98.5K ﹤0.01%
12,537
+102
+0.8% +$820
43 44
45
46 47

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SL
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WB
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SCM
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BPS
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VPC
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ACM
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WWA
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Sigma Planning Corp's Q4 2024 Portfolio in Review

As of Q4 2024, Sigma Planning Corp held 1,277 positions worth $3.18B, down 2.4% from $3.26B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Sigma Planning Corp withdrew a net $97.3M in Q4 2024, closing 115 positions and reducing 566 holdings. Its most notable exit was State Street SPDR EURO STOXX 50 ETF, an estimated $3.8M position sold in full.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 13% a quarter earlier, followed by Consumer Discretionary and Financials.

Against the trend, Sigma Planning Corp opened a new position in LHA Market State Tactical Beta ETF worth $5.26M.

  • Sigma Planning Corp's largest Q4 2024 buy was LHA Market State Tactical Beta ETF: 155,539 shares worth $5.26M.
  • Sigma Planning Corp added most to First Trust SMID Cap Rising Dividend Achievers ETF in Q4 2024, an estimated $3.6M increase.
  • Sigma Planning Corp's biggest Q4 2024 reduction was FT Vest US Equity Buffer ETF December, cutting an estimated $16.3M.
  • Sigma Planning Corp fully exited State Street SPDR EURO STOXX 50 ETF in Q4 2024, selling an estimated $3.8M.
  • Sigma Planning Corp's ten largest holdings make up 27% of its $3.18B portfolio in Q4 2024.
  • Sigma Planning Corp opened 66 new positions and closed 115 in Q4 2024.
  • Sigma Planning Corp's portfolio value fell 2.4% quarter-over-quarter to $3.18B.

Based on Sigma Planning Corp's 13F filing for Q4 2024, filed 3 Feb 2025.