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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
SPXX icon
1151
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$331M
$158K 0.01%
10,538
-4,962
-32% -$79.6K
BBW icon
1152
Build-A-Bear
BBW
$423M
$157K 0.01%
11,773
-1,013
-8% -$15.9K
FBRT
1153
Franklin BSP Realty Trust
FBRT
$601M
$156K 0.01%
+14,506
New +$199K
NVG icon
1154
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.65B
$154K 0.01%
13,156
+59
+0.5% +$804
SONO icon
1155
Sonos
SONO
$1.75B
$150K 0.01%
10,798
– –
EVV
1156
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$149K 0.01%
16,199
-2,177
-12% -$22.8K
RQI icon
1157
Cohen & Steers Quality Income Realty Fund
RQI
$1.71B
$148K 0.01%
13,176
-14,350
-52% -$205K
NID
1158
DELISTED
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
$148K 0.01%
12,000
– –
OXLC
1159
Oxford Lane Capital
OXLC
$830M
$146K 0.01%
5,637
-1,129
-17% -$34K
ABR icon
1160
Arbor Realty Trust
ABR
$960M
$143K 0.01%
12,419
+459
+4% +$6.75K
FFLG icon
1161
Fidelity Fundamental Large Cap Growth ETF
FFLG
$634M
$143K 0.01%
+11,217
New +$159K
SLRC icon
1162
SLR Investment Corp
SLRC
$706M
$142K 0.01%
11,565
+14
+0.1% +$205
DCGO icon
1163
DocGo
DCGO
$58.9M
$141K 0.01%
14,200
– –
PLTR icon
1164
Palantir
PLTR
$295B
$137K 0.01%
16,811
+2,250
+15% +$20K
GF
1165
New Germany Fund
GF
$184M
$135K 0.01%
19,326
– –
EVGO icon
1166
EVgo
EVGO
$200M
$132K 0.01%
+16,716
New +$146K
FCEL icon
1167
FuelCell Energy
FCEL
$1.7B
$130K 0.01%
1,274
+8
+0.6% +$957
GAB icon
1168
Gabelli Equity Trust
GAB
$1.74B
$129K ﹤0.01%
23,509
+179
+0.8% +$1.1K
GAP
1169
The Gap Inc
GAP
$6.84B
$129K ﹤0.01%
15,746
+2,471
+19% +$23.2K
KIO
1170
KKR Income Opportunities Fund
KIO
$450M
$128K ﹤0.01%
11,229
+238
+2% +$2.89K
QS icon
1171
QuantumScape Corp
QS
$3B
$125K ﹤0.01%
14,920
+311
+2% +$3.33K
SWBI icon
1172
Smith & Wesson
SWBI
$655M
$124K ﹤0.01%
11,947
+30
+0.3% +$396
MSOS icon
1173
AdvisorShares Pure US Cannabis ETF
MSOS
$864M
$121K ﹤0.01%
13,593
-495
-4% -$5.71K
HEQ
1174
John Hancock Hedged Equity & Income Fund
HEQ
$140M
$120K ﹤0.01%
10,217
– –
WOOF icon
1175
Petco
WOOF
$745M
$120K ﹤0.01%
10,788
+260
+2% +$3.8K
45 46
47
48 49

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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 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.