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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
ALP
1201
Alpha Compute
ALP
$5.08M
$80K ﹤0.01%
584
– –
XXII
1202
22nd Century Group
XXII
$1.47M
– –
0
– –
VVR icon
1203
Invesco Senior Income Trust
VVR
$456M
$78K ﹤0.01%
20,903
+381
+2% +$1.46K
EXG icon
1204
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.91B
$75K ﹤0.01%
10,300
-2,263
-18% -$18.8K
IGR
1205
CBRE Global Real Estate Income Fund
IGR
$712M
$75K ﹤0.01%
12,969
+953
+8% +$6.97K
TUP
1206
DELISTED
Tupperware Brands Corporation
TUP
$75K ﹤0.01%
11,377
+305
+3% +$2.74K
SER icon
1207
Serina Therapeutics
SER
$31M
$66K ﹤0.01%
3,332
+15
+0.5% +$339
MNTS icon
1208
Momentus
MNTS
$88.7M
$65K ﹤0.01%
4
+2
+100% +$46.3K
CLVS
1209
DELISTED
Clovis Oncology, Inc.
CLVS
$62K ﹤0.01%
52,148
+7,650
+17% +$11.9K
MBRX icon
1210
Moleculin Biotech
MBRX
$15M
$61K ﹤0.01%
153
– –
RWT
1211
Redwood Trust
RWT
$616M
$60K ﹤0.01%
10,526
+16
+0.2% +$124
OXSQ icon
1212
Oxford Square Capital
OXSQ
$151M
$57K ﹤0.01%
19,035
+56
+0.3% +$206
HNRG icon
1213
Hallador Energy
HNRG
$718M
$56K ﹤0.01%
10,000
– –
CHS
1214
DELISTED
Chicos FAS, Inc.
CHS
$56K ﹤0.01%
11,500
– –
IBRX icon
1215
ImmunityBio
IBRX
$7.44B
$53K ﹤0.01%
10,750
– –
IAF
1216
abrdn Australia Equity Fund
IAF
$120M
$52K ﹤0.01%
4,295
+11
+0.3% +$156
TLRY icon
1217
Tilray
TLRY
$479M
$52K ﹤0.01%
1,889
+327
+21% +$11.5K
ANGI icon
1218
Angi Inc
ANGI
$224M
$49K ﹤0.01%
1,670
+100
+6% +$4.4K
YOLO icon
1219
AdvisorShares Pure Cannabis ETF
YOLO
$29.9M
$49K ﹤0.01%
11,524
-720
-6% -$3.89K
NSL
1220
DELISTED
NUVEEN SENIOR INCM FD
NSL
$48K ﹤0.01%
10,365
– –
BTG icon
1221
B2Gold
BTG
$5.16B
$46K ﹤0.01%
14,265
-3,971
-22% -$13.1K
TTI icon
1222
TETRA Technologies
TTI
$1.23B
$44K ﹤0.01%
12,331
– –
FCEL icon
1223
CALL
FuelCell Energy
FCEL
$1.7B
$43K ﹤0.01%
417
– –
RIG icon
1224
Transocean
RIG
$5.92B
$43K ﹤0.01%
17,289
+3,305
+24% +$10.6K
OGI
1225
Organigram Holdings
OGI
$132M
$41K ﹤0.01%
11,870
+748
+7% +$3.13K
47 48
49
50 51

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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.