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Sigma Planning Corp Portfolio holdings
AUM
$3.88B
Turnover
15.86%
1-Year Est. Return
23.38%
Sigma Planning Corporation is an investment advisory firm that serves as a base for financial advisers who want to grow their own practices, offering investment management, financial planning and consulting. It shares ownership with two brokerage firms, Sigma Financial Corporation and Parkland Securities, and most of its advisers also work as brokers for one of them. A trust led by Jerome Rydell, who is chief executive of all three firms, holds the controlling stake. Its clients range from individuals and high net worth individuals to pension plans, charities and government bodies.
This Fund
S&P 500
This Quarter Est. Return
+2.21%
1 Year Est. Return
+23.38%
3 Year Est. Return
+97.51%
5 Year Est. Return
+104.89%
10 Year Est. Return
+349.11%
AUM
$3.88B
AUM Growth
-$88.7M
(-2.2%)
Cap. Flow
-$109M
Cap. Flow % of AUM
Cap. Flow %
-2.8%
Top 10 Holdings %
Top 10 Hldgs %
24.88%
Holding
1,482
New
78
Increased
518
Reduced
682
Closed
157
Avg Time Held
Equity + Options
4.6
years
Top 10 Avg Time Held
Equity + Options
6.7
years
Top 20 Avg Time Held
Equity + Options
4.7
years
Avg Time Held Equity only
4.6
years
Top 10 Avg Time Held Equity only
6.7
years
Top 20 Avg Time Held Equity only
5.1
years
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
BlackRock US Equity Factor Rotation ETF
DYNF
|
+$5.36M |
| 2 |
Vanguard High Dividend Yield ETF
VYM
|
+$3.47M |
| 3 |
Sarmaya Thematic ETF
LENS
|
+$2.97M |
| 4 |
Vanguard Morningstar Small-Cap ETF
VB
|
+$2.92M |
| 5 |
Palantir
PLTR
|
+$2.8M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Invesco QQQ Trust
QQQ
|
+$6.05M |
| 2 |
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
|
+$5.64M |
| 3 |
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
|
+$5.59M |
| 4 |
iShares Core S&P Small-Cap ETF
IJR
|
+$3.76M |
| 5 |
Vanguard S&P 500 ETF
VOO
|
+$3.14M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 59.35% |
| 2 | Technology | 16.75% |
| 3 | Financials | 3.9% |
| 4 | Industrials | 3.46% |
| 5 | Healthcare | 3.44% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
1151
British American Tobacco
BTI
$131B
| $244K | 0.01% |
4,487
-1,744
| -28% | -$101K |
2019 Q1
30 quarters
|
|
1152
Innovator Equity Defined Protection ETF - 2 Yr to July 2027
TJUL
$113M
| $243K | 0.01% |
7,937
-400
| -5% | -$12.2K |
2024 Q1
10 quarters
|
|
1153
First Trust Mid Cap Value AlphaDEX Fund
FNK
$238M
| $243K | 0.01% |
4,110
-41
| -1% | -$2.58K |
2021 Q1
22 quarters
|
|
1154
Akamai
AKAM
$11.9B
| $242K | 0.01% |
2,279
+9
| +0.4% | +$1.03K |
2026 Q2
1 quarter
|
|
1155
PayPal
PYPL
$49.2B
| $242K | 0.01% |
4,598
-493
| -10% | -$27.1K |
2015 Q4
43 quarters
|
|
1156
Huntington Bancshares
HBAN
$31.2B
| $242K | 0.01% |
15,873
-57,409
| -78% | -$982K |
2024 Q1
10 quarters
|
|
1157
WisdomTree International MidCap Dividend Fund
DIM
$158M
| $241K | 0.01% |
2,799
| – | – |
2026 Q1
2 quarters
|
|
1158
iShares US Industrials ETF
IYJ
$1.79B
| $241K | 0.01% |
1,571
+43
| +3% | +$6.99K |
2025 Q2
5 quarters
|
|
1159
Essential Utilities
WTRG
$13B
| $239K | 0.01% |
6,106
-118
| -2% | -$4.73K |
2018 Q3
32 quarters
|
|
1160
Cencora
COR
$63.7B
| $239K | 0.01% |
796
-337
| -30% | -$106K |
2017 Q1
38 quarters
|
|
1161
Energy Transfer LP Series I Preferred Units
ET.PRI
$438M
| $238K | 0.01% |
21,657
-7,804
| -26% | -$89.5K |
2026 Q1
2 quarters
|
|
1162
Calamos Nasdaq-100 Structured Alt Protection ETF - September
CPNS
$28.1M
| $238K | 0.01% |
8,343
| – | – |
2025 Q3
4 quarters
|
|
1163
Masco
MAS
$15.8B
| $238K | 0.01% |
3,531
-2,317
| -40% | -$171K |
2024 Q1
10 quarters
|
|
1164
Sprott Physical Gold
PHYS
$14.6B
| $238K | 0.01% |
7,605
-70
| -0.9% | -$2.26K |
2014 Q4
47 quarters
|
|
1165
Portland General Electric
POR
$5.47B
| $237K | 0.01% |
5,302
-42
| -0.8% | -$2.09K |
2025 Q3
4 quarters
|
|
1166
FT Vest US Small Cap Moderate Buffer ETF February
SFEB
$128M
| $236K | 0.01% |
9,180
-10
| -0.1% | -$263 |
2026 Q1
2 quarters
|
|
1167
iShares Fallen Angels USD Bond ETF
FALN
$1.74B
| $236K | 0.01% |
9,090
-435
| -5% | -$11.7K |
2024 Q1
10 quarters
|
|
1168
Gladstone Land Corp
LAND
$303M
| $235K | 0.01% |
24,886
+3,648
| +17% | +$32.3K |
2025 Q1
6 quarters
|
|
1169
Innovator US Small Cap Power Buffer ETF July
KJUL
$218M
| $235K | 0.01% |
7,146
+670
| +10% | +$22.6K |
2025 Q2
5 quarters
|
|
1170
Innovator US Equity Power Buffer ETF June
PJUN
$857M
| $234K | 0.01% |
5,329
-600
| -10% | -$26.2K |
2025 Q2
5 quarters
|
|
1171
Tema Space Innovators ETF
NASA
$4.07B
| $234K | 0.01% |
9,758
-1,512
| -13% | -$36.7K |
2026 Q2
1 quarter
|
|
1172
Calamos S&P 500 Structured Alt Protection ETF - July
CPSJ
$50.2M
| $234K | 0.01% |
8,351
| – | – |
2025 Q2
5 quarters
|
|
1173
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.55B
| $233K | 0.01% |
1,761
-391
| -18% | -$53.6K |
2025 Q3
4 quarters
|
|
1174
Innodata
INOD
$1.27B
| $233K | 0.01% |
3,539
+34
| +1% | +$2.11K |
2026 Q2
1 quarter
|
|
1175
United Natural Foods
UNFI
$2.72B
| $233K | 0.01% |
5,193
| – | – |
2026 Q1
2 quarters
|
|
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Sigma Planning Corp's Q3 2026 Portfolio in Review
As of Q3 2026, Sigma Planning Corp held 1,482 positions worth $3.88B, down 2.2% from $3.97B the previous quarter. Its ten largest holdings account for 25% of the portfolio.
Sigma Planning Corp's Q3 2026 filing shows 78 new, 518 increased, 682 reduced and 157 closed positions. Its largest new stake was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M. The largest sale was Invesco QQQ Trust, an estimated $6.05M.
By sector, the portfolio is most concentrated in Miscellaneous at 59% of assets, down from 60% a quarter earlier, followed by Technology and Financials.
- Sigma Planning Corp's largest Q3 2026 buy was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M.
- Sigma Planning Corp added most to BlackRock US Equity Factor Rotation ETF in Q3 2026, an estimated $5.36M increase.
- Sigma Planning Corp's biggest Q3 2026 reduction was Invesco QQQ Trust, cutting an estimated $6.05M.
- Sigma Planning Corp fully exited PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund in Q3 2026, selling an estimated $2.33M.
- Sigma Planning Corp's ten largest holdings make up 25% of its $3.88B portfolio in Q3 2026.
- Sigma Planning Corp opened 78 new positions and closed 157 in Q3 2026.
- Sigma Planning Corp's portfolio value fell 2.2% quarter-over-quarter to $3.88B.
Based on Sigma Planning Corp's 13F filing for Q3 2026, filed 23 Oct 2026.