Sigma Planning Corp Portfolio holdings
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.
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 | |
|---|---|---|---|---|---|---|---|
1201
Vanguard US Momentum Factor ETF
VFMO
$1.71B
| $221K | 0.01% |
972
+49
| +5% | +$11.3K |
2026 Q2
1 quarter
|
|
1202
VanEck Oil Refiners ETF
CRAK
$557M
| $220K | 0.01% |
+3,479
| New | +$203K |
2026 Q3
0 quarters
|
|
1203
DELISTED
Warner Bros
WBD
| $220K | 0.01% |
+7,192
| New | +$199K |
2026 Q3
0 quarters
|
|
1204
Unum
UNM
$11.9B
| $220K | 0.01% |
2,505
-304
| -11% | -$27.6K |
2024 Q1
10 quarters
|
|
1205
Innovator US Equity Power Buffer ETF October
POCT
$1.1B
| $220K | 0.01% |
4,585
+233
| +5% | +$11K |
2025 Q4
3 quarters
|
|
1206
Intercontinental Exchange
ICE
$96.3B
| $219K | 0.01% |
1,441
-1,972
| -58% | -$298K |
2024 Q1
10 quarters
|
|
1207
State Street SPDR S&P Regional Banking ETF
KRE
$4.69B
| $219K | 0.01% |
+3,158
| New | +$236K |
2026 Q3
0 quarters
|
|
1208
Innovator Nasdaq-100 Managed Floor ETF
QFLR
$481M
| $219K | 0.01% |
6,065
-269
| -4% | -$9.5K |
2025 Q3
4 quarters
|
|
1209
TKO Group
TKO
$13.8B
| $219K | 0.01% |
1,216
-76
| -6% | -$14.3K |
2025 Q3
4 quarters
|
|
1210
Uranium Energy
UEC
$3.43B
| $218K | 0.01% |
23,121
+421
| +2% | +$4.48K |
2025 Q2
5 quarters
|
|
1211
FT Vest US Small Cap Moderate Buffer ETF May
SMAY
$110M
| $218K | 0.01% |
7,881
-34
| -0.4% | -$962 |
2024 Q3
8 quarters
|
|
1212
Innovator US Equity Ultra Buffer ETF November
UNOV
$103M
| $218K | 0.01% |
5,275
| – | – |
2026 Q2
1 quarter
|
|
1213
Corteva
CTVA
$7.94B
| $218K | 0.01% |
2,808
-1,124
| -29% | -$93K |
2019 Q3
28 quarters
|
|
1214
Velo3D Inc
VELO
$179M
| $218K | 0.01% |
20,000
| – | – |
2026 Q2
1 quarter
|
|
1215
Elbit Systems
ESLT
$32B
| $218K | 0.01% |
319
-3
| -0.9% | -$2.28K |
2025 Q4
3 quarters
|
|
1216
iShares US Consumer Staples ETF
IYK
$1.5B
| $217K | 0.01% |
3,073
+19
| +0.6% | +$1.41K |
2024 Q1
10 quarters
|
|
1217
Franklin FTSE Eurozone ETF
FLEU
$67.7M
| $217K | 0.01% |
6,240
| – | – |
2026 Q1
2 quarters
|
|
1218
Weyerhaeuser
WY
$15.1B
| $217K | 0.01% |
11,374
-764
| -6% | -$17.8K |
2016 Q1
42 quarters
|
|
1219
Kopin
KOPN
$549M
| $217K | 0.01% |
47,075
+8,200
| +21% | +$35.6K |
2026 Q2
1 quarter
|
|
1220
Williams-Sonoma
WSM
$29.9B
| $216K | 0.01% |
950
-616
| -39% | -$142K |
2024 Q1
10 quarters
|
|
1221
iShares High Yield Systematic Bond ETF
HYDB
$1.52B
| $216K | 0.01% |
+4,805
| New | +$222K |
2026 Q3
0 quarters
|
|
1222
Roundhill Top WeeklyPay ETF
TOPW
$129M
| $216K | 0.01% |
+6,400
| New | +$217K |
2026 Q3
0 quarters
|
|
1223
JPMorgan International Bond Opportunities ETF
JPIB
$2.31B
| $216K | 0.01% |
4,618
-1,402
| -23% | -$66.9K |
2023 Q2
13 quarters
|
|
1224
Motorola Solutions
MSI
$85.1B
| $215K | 0.01% |
483
-21
| -4% | -$9.45K |
2025 Q1
6 quarters
|
|
1225
Avantis Emerging Markets Equity ETF
AVEM
$26.1B
| $215K | 0.01% |
2,290
-2,402
| -51% | -$223K |
2026 Q2
1 quarter
|
|
Similar funds
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.