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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
-3.05%
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
$2.67B
AUM Growth
-$117M
Cap. Flow
+$7.73M
Cap. Flow %
0.29%
Top 10 Hldgs %
22.23%
Holding
1,324
New
121
Increased
493
Reduced
556
Closed
129

Top Buys

Rank Stock Value
1
XAUG icon
FT Vest US Equity Enhance & Moderate Buffer ETF August
XAUG
+$11M
2
ABBV icon
AbbVie
ABBV
+$5.08M
3
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$4.55M
4
MOAT icon
VanEck Morningstar Wide Moat ETF
MOAT
+$3.89M
5
ABT icon
Abbott
ABT
+$3.79M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$5.16M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.76M
3
AZO icon
AutoZone
AZO
+$3.74M
4
TSLA icon
Tesla
TSLA
+$3.66M
5
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.53M

Sector Composition

Rank Sector Weight
1 Technology 11.22%
2 Healthcare 4.66%
3 Consumer Discretionary 4.34%
4 Financials 4.17%
5 Industrials 3.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ANGI icon
1176
Angi Inc
ANGI
$224M
$20.2K ﹤0.01%
1,020
– –
ZOM
1177
DELISTED
Zomedica Corp.
ZOM
$19.1K ﹤0.01%
114,500
+39,999
+54% +$7.77K
IBRX icon
1178
ImmunityBio
IBRX
$7.44B
$18.7K ﹤0.01%
11,050
– –
LUMN icon
1179
Lumen
LUMN
$6.53B
$18.4K ﹤0.01%
12,943
-13,385
-51% -$22.7K
RCAT icon
1180
Red Cat Holdings
RCAT
$1.16B
$13.3K ﹤0.01%
13,683
– –
EIGR
1181
DELISTED
Eiger BioPharmaceuticals, Inc.
EIGR
$12.7K ﹤0.01%
1,383
-2,000
-59% -$40.2K
CGC
1182
Canopy Growth
CGC
$375M
$11.3K ﹤0.01%
1,439
+183
+15% +$1.12K
TUP
1183
PUT
DELISTED
Tupperware Brands Corporation
TUP
$11.1K ﹤0.01%
+11,900
New +$26.7K
CLOV icon
1184
Clover Health Investments
CLOV
$2.28B
$11.1K ﹤0.01%
10,274
-500
-5% -$595
STEX
1185
Streamex Corp
STEX
$76.7M
$10.2K ﹤0.01%
2,090
-310
-13% -$2.33K
GNW icon
1186
PUT
Genworth Financial
GNW
$3.8B
$7.99K ﹤0.01%
+23,700
New +$137K
MBRX icon
1187
Moleculin Biotech
MBRX
$15M
$7.27K ﹤0.01%
45
– –
GTBP icon
1188
GT Biopharma
GTBP
$11.7M
$4.92K ﹤0.01%
680
– –
SLNH icon
1189
Soluna Holdings
SLNH
$199M
$3.94K ﹤0.01%
+752
New +$4.69K
EZPW icon
1190
PUT
Ezcorp Inc
EZPW
$1.82B
$3.73K ﹤0.01%
+11,700
New +$101K
STEX
1191
CALL
Streamex Corp
STEX
$76.7M
$795 ﹤0.01%
+1,590
New +$11.9K
NOK icon
1192
PUT
Nokia
NOK
$50.8B
$660 ﹤0.01%
+13,200
New +$52.1K
SQFTW icon
1193
Presidio Property Trust Inc Series A Warrants
SQFTW
$208K
$514 ﹤0.01%
15,115
– –
UBS icon
1194
CALL
UBS Group
UBS
$170B
$250 ﹤0.01%
+25,000
New +$584K
AAL icon
1195
American Airlines Group
AAL
$9.58B
– –
-12,923
Closed -$232K
AAP icon
1196
CALL
Advance Auto Parts
AAP
$3.37B
– –
-40,000
Closed -$2.81K
AEM icon
1197
Agnico Eagle Mines
AEM
$72.6B
– –
-5,783
Closed -$289K
ALLY icon
1198
Ally Financial
ALLY
$13.1B
– –
-8,722
Closed -$236K
APO icon
1199
Apollo Global Management
APO
$70.7B
– –
-5,408
Closed -$415K
ARKW icon
1200
ARK Web x.0 ETF
ARKW
$1.64B
– –
-3,834
Closed -$225K
46 47
48
49 50

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Sigma Planning Corp's Q3 2023 Portfolio in Review

As of Q3 2023, Sigma Planning Corp held 1,324 positions worth $2.67B, down 4.2% from $2.78B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp's Q3 2023 filing shows 121 new, 493 increased, 556 reduced and 129 closed positions. Its largest new stake was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M. The largest sale was Apple, an estimated $5.16M.

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

  • Sigma Planning Corp's largest Q3 2023 buy was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M.
  • Sigma Planning Corp added most to AbbVie in Q3 2023, an estimated $5.08M increase.
  • Sigma Planning Corp's biggest Q3 2023 reduction was Apple, cutting an estimated $5.16M.
  • Sigma Planning Corp fully exited FT Vest Gold Strategy Target Income ETF in Q3 2023, selling an estimated $2.89M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.67B portfolio in Q3 2023.
  • Sigma Planning Corp opened 121 new positions and closed 129 in Q3 2023.
  • Sigma Planning Corp's portfolio value fell 4.2% quarter-over-quarter to $2.67B.

Based on Sigma Planning Corp's 13F filing for Q3 2023, filed 6 Nov 2023.