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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
BIL icon
1201
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
$47.1B
– –
-15,268
Closed -$1.4M
BKLN icon
1202
Invesco Senior Loan ETF
BKLN
$6.97B
– –
-10,419
Closed -$227K
BLES icon
1203
Inspire Global Hope ETF
BLES
$159M
– –
-11,850
Closed -$329K
BMAR icon
1204
Innovator US Equity Buffer ETF March
BMAR
$249M
– –
-8,155
Closed -$230K
BTG icon
1205
B2Gold
BTG
$5.16B
– –
-10,500
Closed -$68K
BWG
1206
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$129M
– –
-38,270
Closed -$440K
BXMX
1207
DELISTED
Nuveen S&P 500 Buy-Write Income Fund
BXMX
– –
-13,357
Closed -$151K
CHRW icon
1208
C.H. Robinson
CHRW
$20.6B
– –
-2,017
Closed -$206K
CODI icon
1209
Compass Diversified
CODI
$755M
– –
-11,428
Closed -$218K
CSIQ icon
1210
Canadian Solar
CSIQ
$936M
– –
-11,534
Closed -$405K
DGS icon
1211
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.71B
– –
-5,982
Closed -$247K
EDOW icon
1212
First Trust Dow 30 Equal Weight ETF
EDOW
$311M
– –
-10,794
Closed -$263K
FCEF icon
1213
First Trust Exchange-Traded Fund VIII First Trust Income Opportunities ETF
FCEF
$80.6M
– –
-10,323
Closed -$203K
FDM icon
1214
First Trust Dow Jones Select MicroCap Index Fund
FDM
$262M
– –
-11,616
Closed -$435K
FEZ icon
1215
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.32B
– –
-6,708
Closed -$244K
FFEB icon
1216
FT Vest US Equity Buffer ETF February
FFEB
$1.37B
– –
-108,220
Closed -$3.35M
FNOV icon
1217
FT Vest US Equity Buffer ETF November
FNOV
$1.2B
– –
-49,995
Closed -$1.63M
FPF
1218
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.08B
– –
-9,972
Closed -$214K
FRI icon
1219
First Trust S&P REIT Index Fund
FRI
$194M
– –
-14,440
Closed -$305K
FTXN icon
1220
First Trust Nasdaq Oil & Gas ETF
FTXN
$162M
– –
-118,367
Closed -$1.1M
GAIN icon
1221
Gladstone Investment Corp
GAIN
$648M
– –
-10,744
Closed -$98K
GBDC icon
1222
Golub Capital BDC
GBDC
$3.36B
– –
-10,204
Closed -$135K
GEO icon
1223
The GEO Group
GEO
$4.13B
– –
-13,660
Closed -$155K
GLDD
1224
DELISTED
Great Lakes Dredge & Dock
GLDD
– –
-14,723
Closed -$140K
GLDI icon
1225
Credit Suisse X-Links Gold Shares Covered Call ETNs due February 2 2033
GLDI
$31.3M
– –
-935
Closed -$184K
47 48
49
50 51

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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.