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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PBI icon
1126
Pitney Bowes
PBI
$2.42B
$199K 0.01%
85,350
+1,663
+2% +$5.34K
GSL icon
1127
Global Ship Lease
GSL
$1.57B
$198K 0.01%
+12,534
New +$223K
RUM icon
1128
RUM Group Inc
RUM
$1.57B
$196K 0.01%
15,961
+1,468
+10% +$16.1K
PFXF icon
1129
VanEck Preferred Securities ex Financials ETF
PFXF
$2.39B
$194K 0.01%
11,290
-1,677
-13% -$31.1K
BDJ icon
1130
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.7B
$192K 0.01%
23,732
-3,358
-12% -$31K
SCWO icon
1131
374Water
SCWO
$37.8M
$192K 0.01%
+6,783
New +$198K
HAACU
1132
DELISTED
Health Assurance Acquisition Corp. SAIL Securities
HAACU
$192K 0.01%
19,220
-355
-2% -$3.53K
BCX icon
1133
BlackRock Resources & Commodities Strategy Trust
BCX
$899M
$191K 0.01%
21,965
-3,876
-15% -$34.8K
AGNC icon
1134
AGNC Investment
AGNC
$12.3B
$190K 0.01%
22,602
+5,359
+31% +$62.9K
GLU
1135
Gabelli Utility & Income Trust
GLU
$116M
$188K 0.01%
13,447
-395
-3% -$6.33K
JRO
1136
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$187K 0.01%
23,246
+1,000
+4% +$8.48K
IRT icon
1137
Independence Realty Trust
IRT
$3.92B
$186K 0.01%
11,130
-8,226
-42% -$166K
EFC
1138
Ellington Financial
EFC
$1.68B
$184K 0.01%
16,198
+4,031
+33% +$60.2K
EFR
1139
Eaton Vance Senior Floating-Rate Fund
EFR
$311M
$180K 0.01%
16,179
-194
-1% -$2.35K
DJTWW
1140
Trump Media & Technology Group Warrants
DJTWW
$703M
$179K 0.01%
49,705
+490
+1% +$3.03K
BTZ icon
1141
BlackRock Credit Allocation Income Trust
BTZ
$927M
$178K 0.01%
18,708
+414
+2% +$4.54K
GOGL
1142
DELISTED
Golden Ocean Group
GOGL
$175K 0.01%
23,400
+1,378
+6% +$13.8K
BBN icon
1143
BlackRock Taxable Municipal Bond Trust
BBN
$969M
$173K 0.01%
10,523
+513
+5% +$9.61K
HPS
1144
John Hancock Preferred Income Fund III
HPS
$458M
$173K 0.01%
11,518
+26
+0.2% +$417
BIG
1145
PUT
DELISTED
Big Lots, Inc.
BIG
$173K 0.01%
+11,100
New +$239K
MTTR
1146
DELISTED
Matterport, Inc. Class A Common Stock
MTTR
$172K 0.01%
45,460
+1,675
+4% +$7.38K
ONB icon
1147
Old National Bancorp
ONB
$10.1B
$166K 0.01%
10,081
+5
+0% +$84
IEZ icon
1148
iShares US Oil Equipment & Services ETF
IEZ
$367M
$163K 0.01%
11,308
-2,763
-20% -$43.3K
CMLS
1149
DELISTED
Cumulus Media Inc. Class A Common Stock
CMLS
$160K 0.01%
22,822
-200
-0.9% -$1.7K
CPZ
1150
Calamos Long/Short Equity & Dynamic Income Trust
CPZ
$253M
$158K 0.01%
+10,600
New +$181K
44 45
46
47 48

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BPS
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WWA
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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.