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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
+7.5%
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
$2.37B
AUM Growth
+$287M
Cap. Flow
+$149M
Cap. Flow %
6.27%
Top 10 Hldgs %
22.16%
Holding
1,143
New
143
Increased
513
Reduced
371
Closed
92

Top Buys

Rank Stock Value
1
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$7.45M
2
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$6.06M
3
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$6.01M
4
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$5.52M
5
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.67M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.41M
2
NEE icon
NextEra Energy
NEE
+$5.94M
3
CMG icon
Chipotle Mexican Grill
CMG
+$5.85M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$5.59M
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$4.89M

Sector Composition

Rank Sector Weight
1 Technology 7.36%
2 Financials 4.5%
3 Healthcare 4.01%
4 Industrials 3.83%
5 Consumer Discretionary 3.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TEN
1126
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
– –
-25,551
Closed -$320K
AVLR
1127
DELISTED
Avalara, Inc.
AVLR
– –
-64,831
Closed -$4.36M
VANIW
1128
DELISTED
Vivani Medical, Inc. Warrants expiring 03/14/2024
VANIW
– –
-20,167
Closed -$32K
AXU
1129
DELISTED
Alexco Resource Corp
AXU
– –
-13,000
Closed -$22K
DNKN
1130
DELISTED
Dunkin' Brands Group, Inc.
DNKN
– –
-38,801
Closed -$3.08M
NE
1131
DELISTED
Noble Corporation
NE
– –
-11,670
Closed -$14K
S
1132
DELISTED
Sprint Corporation
S
– –
-12,302
Closed -$76K
FGP
1133
DELISTED
Ferrellgas Partners, L.P.
FGP
– –
-11,190
Closed -$12K
BSJJ
1134
DELISTED
Invesco BulletShares 2019 High Yield Corporate Bond ETF
BSJJ
– –
-56,857
Closed -$1.36M
BSCJ
1135
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
– –
-63,735
Closed -$1.34M
STI
1136
DELISTED
SunTrust Banks, Inc.
STI
– –
-4,226
Closed -$291K
DF
1137
DELISTED
Dean Foods Company
DF
– –
-11,733
Closed -$14K
TEUM
1138
DELISTED
Pareteum Corporation
TEUM
– –
-41,200
Closed -$53K
IBDN
1139
DELISTED
iShares iBonds Dec 2022 Term Corporate ETF
IBDN
– –
-9,095
Closed -$230K
VRML
1140
DELISTED
Vermillion, Inc.
VRML
– –
-20,200
Closed -$11K
CELG
1141
DELISTED
Celgene Corp
CELG
– –
-7,224
Closed -$717K
42 43 44 45
46

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Sigma Planning Corp's Q4 2019 Portfolio in Review

As of Q4 2019, Sigma Planning Corp held 1,143 positions worth $2.37B, up 14% from $2.08B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp deployed $149M of net new capital in Q4 2019, opening 143 new positions and adding to 513 existing holdings. Its largest new stake was iShares US Transportation ETF: 66,896 shares worth $3.27M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, up from 7.1% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was iShares Core S&P 500 ETF, an estimated $6.41M trimmed.

  • Sigma Planning Corp's largest Q4 2019 buy was iShares US Transportation ETF: 66,896 shares worth $3.27M.
  • Sigma Planning Corp added most to iShares Core Dividend Growth ETF in Q4 2019, an estimated $7.45M increase.
  • Sigma Planning Corp's biggest Q4 2019 reduction was iShares Core S&P 500 ETF, cutting an estimated $6.41M.
  • Sigma Planning Corp fully exited Avalara, Inc. in Q4 2019, selling an estimated $4.36M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.37B portfolio in Q4 2019.
  • Sigma Planning Corp opened 143 new positions and closed 92 in Q4 2019.
  • Sigma Planning Corp's portfolio value rose 14% quarter-over-quarter to $2.37B.

Based on Sigma Planning Corp's 13F filing for Q4 2019, filed 3 Feb 2020.