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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
CDE icon
1176
Coeur Mining
CDE
$15.6B
$119K ﹤0.01%
34,876
+12,526
+56% +$37.2K
NZF icon
1177
Nuveen Municipal Credit Income Fund
NZF
$2.4B
$119K ﹤0.01%
10,471
+9
+0.1% +$116
TWO
1178
Two Harbors Investment
TWO
$1.27B
$116K ﹤0.01%
8,763
+1,055
+14% +$20.5K
JRI icon
1179
Nuveen Real Asset Income & Growth Fund
JRI
$358M
$115K ﹤0.01%
+10,282
New +$136K
NAD icon
1180
Nuveen Quality Municipal Income Fund
NAD
$2.71B
$115K ﹤0.01%
+10,458
New +$130K
TPIC
1181
DELISTED
TPI Composites
TPIC
$115K ﹤0.01%
+10,201
New +$161K
VOD icon
1182
Vodafone
VOD
$34.9B
$115K ﹤0.01%
10,159
-577
-5% -$8.06K
HCDIP
1183
DELISTED
Harbor Custom Development, Inc. 8.0% Series A Cumulative Convertible Preferred Stock, no par value
HCDIP
$114K ﹤0.01%
+10,300
New +$137K
AWP
1184
abrdn Global Premier Properties Fund
AWP
$377M
$113K ﹤0.01%
9,846
-379
-4% -$5.56K
AOD
1185
abrdn Total Dynamic Dividend Fund
AOD
$1.1B
$112K ﹤0.01%
15,680
-3,775
-19% -$30.5K
NMZ icon
1186
Nuveen Municipal High Income Opportunity Fund
NMZ
$2.2B
$112K ﹤0.01%
+10,933
New +$128K
SIRI icon
1187
SiriusXM
SIRI
$10B
$112K ﹤0.01%
1,965
+6
+0.3% +$377
VMO icon
1188
Invesco Municipal Opportunity Trust
VMO
$647M
$111K ﹤0.01%
12,186
-3,550
-23% -$36.3K
TEVA icon
1189
Teva Pharmaceuticals
TEVA
$35.9B
$109K ﹤0.01%
+13,483
New +$119K
EZPW icon
1190
Ezcorp Inc
EZPW
$1.82B
$108K ﹤0.01%
13,987
-1,737
-11% -$14.4K
SOFI icon
1191
SoFi Technologies
SOFI
$21.1B
$107K ﹤0.01%
21,862
+1,183
+6% +$7.49K
PCT icon
1192
PureCycle Technologies
PCT
$1.17B
$103K ﹤0.01%
+12,730
New +$109K
CIM
1193
Chimera Investment
CIM
$1.05B
$102K ﹤0.01%
6,540
+777
+13% +$20.2K
BBDC icon
1194
Barings BDC
BBDC
$862M
$101K ﹤0.01%
+12,258
New +$118K
FAX
1195
abrdn Asia-Pacific Income Fund
FAX
$590M
$101K ﹤0.01%
6,693
+5
+0.1% +$83
NIM icon
1196
Nuveen Select Maturities Municipal Fund
NIM
$117M
$101K ﹤0.01%
11,389
– –
JPC icon
1197
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$95K ﹤0.01%
13,601
+35
+0.3% +$273
NKLA
1198
DELISTED
Nikola Corporation Common Stock
NKLA
$89K ﹤0.01%
839
-1
-0.1% -$169
LTRN icon
1199
Lantern Pharma
LTRN
$35.1M
$84K ﹤0.01%
17,500
-100
-0.6% -$538
NOK icon
1200
Nokia
NOK
$50.8B
$83K ﹤0.01%
19,417
+3,252
+20% +$15.8K
46 47
48
49 50

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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.