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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
+13.87%
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
$2.94B
AUM Growth
+$414M
Cap. Flow
+$127M
Cap. Flow %
4.31%
Top 10 Hldgs %
21.71%
Holding
1,278
New
217
Increased
493
Reduced
461
Closed
84

Top Buys

Rank Stock Value
1
SPHB icon
Invesco S&P 500 High Beta ETF
SPHB
+$10.7M
2
PWR icon
Quanta Services
PWR
+$9.65M
3
FXY icon
Invesco CurrencyShares Japanese Yen Trust
FXY
+$8.25M
4
VOO icon
Vanguard S&P 500 ETF
VOO
+$6.57M
5
FDX icon
FedEx
FDX
+$6.5M

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$16.9M
2
GLD icon
SPDR Gold Trust
GLD
+$10.6M
3
SPGI icon
S&P Global
SPGI
+$6.46M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.35M
5
NVDA icon
NVIDIA
NVDA
+$5.76M

Sector Composition

Rank Sector Weight
1 Technology 11.39%
2 Consumer Discretionary 6%
3 Healthcare 4.74%
4 Industrials 4.21%
5 Communication Services 4.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CRBP icon
1176
Corbus Pharmaceuticals
CRBP
$168M
$40K ﹤0.01%
1,067
– –
TULP
1177
Bloomia Holdings
TULP
$15.6M
$34K ﹤0.01%
5,757
– –
RIG icon
1178
Transocean
RIG
$5.84B
$34K ﹤0.01%
14,604
-2,801
-16% -$4.12K
SER icon
1179
Serina Therapeutics
SER
$31.5M
$31K ﹤0.01%
574
+100
+21% +$5.76K
AEMD icon
1180
Aethlon Medical
AEMD
$1.48M
$28K ﹤0.01%
14
-3
-18% -$4.01K
SJT
1181
San Juan Basin Royalty Trust
SJT
$118M
$27K ﹤0.01%
10,073
-159
-2% -$493
BIMI
1182
DELISTED
BIMI International Medical Inc. Common Stock
BIMI
$25K ﹤0.01%
294
+81
+38% +$7.57K
TTI icon
1183
TETRA Technologies
TTI
$1.14B
$21K ﹤0.01%
+24,331
New +$16.7K
LYG icon
1184
Lloyds Banking Group
LYG
$89B
$20K ﹤0.01%
10,264
– –
REED
1185
DELISTED
Reeds, Inc. Common Stock
REED
$16K ﹤0.01%
541
+24
+5% +$938
ZOM
1186
DELISTED
Zomedica Corp.
ZOM
$15K ﹤0.01%
64,000
+20,000
+45% +$2.55K
RMTI icon
1187
Rockwell Medical
RMTI
$27.6M
$11K ﹤0.01%
98
+6
+7% +$672
CNVS icon
1188
Cineverse
CNVS
$58.8M
$8K ﹤0.01%
+600
New +$7.3K
PTE
1189
DELISTED
PolarityTE, Inc. Common Stock
PTE
$7K ﹤0.01%
+420
New +$8.88K
VANIW
1190
DELISTED
Vivani Medical, Inc. Warrants expiring 03/14/2024
VANIW
$4K ﹤0.01%
20,154
– –
ADXS
1191
DELISTED
Advaxis Inc
ADXS
$4K ﹤0.01%
+10,306
New +$3.82K
AAAU icon
1192
Goldman Sachs Physical Gold ETF Shares
AAAU
$2.48B
– –
-71,316
Closed -$1.34M
AAPL icon
1193
CALL
Apple
AAPL
$4.95T
– –
-2,000
Closed -$232K
AB icon
1194
AllianceBernstein
AB
$3.54B
– –
-9,657
Closed -$261K
AES icon
1195
AES
AES
$10.6B
– –
-11,701
Closed -$212K
AIVL icon
1196
WisdomTree US AI Enhanced Value Fund
AIVL
$428M
– –
-3,028
Closed -$228K
AVNS icon
1197
Avanos Medical
AVNS
$1.17B
– –
-6,973
Closed -$232K
AYTU icon
1198
AYTU BioPharma
AYTU
$22.1M
– –
-116
Closed -$28K
BAPR icon
1199
Innovator US Equity Buffer ETF April
BAPR
$404M
– –
-15,218
Closed -$435K
BGFV
1200
DELISTED
Big 5 Sporting Goods
BGFV
– –
-51,316
Closed -$384K
46 47
48
49 50

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Sigma Planning Corp's Q4 2020 Portfolio in Review

As of Q4 2020, Sigma Planning Corp held 1,278 positions worth $2.94B, up 16% from $2.53B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp deployed $127M of net new capital in Q4 2020, opening 217 new positions and adding to 493 existing holdings. Its largest new stake was Invesco S&P 500 High Beta ETF: 214,733 shares worth $12.2M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 12% a quarter earlier, followed by Consumer Discretionary and Healthcare.

On the sell side, the largest reduction was iShares MSCI USA Min Vol Factor ETF, an estimated $16.9M trimmed.

  • Sigma Planning Corp's largest Q4 2020 buy was Invesco S&P 500 High Beta ETF: 214,733 shares worth $12.2M.
  • Sigma Planning Corp added most to Vanguard S&P 500 ETF in Q4 2020, an estimated $6.57M increase.
  • Sigma Planning Corp's biggest Q4 2020 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $16.9M.
  • Sigma Planning Corp fully exited Big Lots, Inc. in Q4 2020, selling an estimated $4.09M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.94B portfolio in Q4 2020.
  • Sigma Planning Corp opened 217 new positions and closed 84 in Q4 2020.
  • Sigma Planning Corp's portfolio value rose 16% quarter-over-quarter to $2.94B.

Based on Sigma Planning Corp's 13F filing for Q4 2020, filed 9 Feb 2021.