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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
(-8.8%)
Cap. Flow
-$114M
Cap. Flow
% of AUM
-4.33%
Top 10 Holdings %
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares 1-3 Year Treasury Bond ETF
SHY
|
+$18.1M |
| 2 |
PepsiCo
PEP
|
+$8.37M |
| 3 |
iShares Core S&P 500 ETF
IVV
|
+$7.73M |
| 4 |
Innovator Power Buffer Step-Up Strategy ETF
PSTP
|
+$4.94M |
| 5 |
Innovator Defined Wealth Shield ETF
BALT
|
+$4.86M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
SPDR Gold Trust
GLD
|
+$8.96M |
| 2 |
Invesco DB US Dollar Index Bullish Fund
UUP
|
+$6.66M |
| 3 |
First Trust Global Tactical Commodity Strategy Fund
FTGC
|
+$6.62M |
| 4 |
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
|
+$6.14M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
101
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.22B
| $5.68M | 0.22% |
99,708
-7,468
| -7% | -$468K |
|
102
Salesforce
CRM
$134B
| $5.65M | 0.22% |
39,249
+440
| +1% | +$74.6K |
|
103
CVS Health
CVS
$137B
| $5.64M | 0.22% |
59,172
-2,867
| -5% | -$284K |
|
104
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.3B
| $5.62M | 0.21% |
78,729
-1,094
| -1% | -$82.7K |
|
105
Lockheed Martin
LMT
$134B
| $5.49M | 0.21% |
14,211
-774
| -5% | -$323K |
|
106
JPMorgan Ultra-Short Income ETF
JPST
$40B
| $5.47M | 0.21% |
109,031
-10,490
| -9% | -$526K |
|
107
AT&T
T
$165B
| $5.44M | 0.21% |
354,347
+22,786
| +7% | +$415K |
|
108
ARK Innovation ETF
ARKK
$5.89B
| $5.42M | 0.21% |
143,516
-2,229
| -2% | -$99.2K |
|
109
Schwab US Large- Cap ETF
SCHX
$70.9B
| $5.23M | 0.2% |
370,572
+18,465
| +5% | +$290K |
|
110
Caterpillar
CAT
$409B
| $5.2M | 0.2% |
31,681
-946
| -3% | -$173K |
|
111
iShares Gold Trust
IAU
$63B
| $5.18M | 0.2% |
164,381
-16,433
| -9% | -$539K |
|
112
First Trust Senior Loan Fund ETF
FTSL
$2.31B
| $5.12M | 0.2% |
116,170
+32,060
| +38% | +$1.45M |
|
113
iShares Select Dividend ETF
DVY
$24B
| $5.11M | 0.19% |
47,697
-874
| -2% | -$105K |
|
114
Vanguard FTSE Developed Markets ETF
VEA
$226B
| $5.09M | 0.19% |
140,013
+4,619
| +3% | +$188K |
|
115
Vanguard Intermediate-Term Bond ETF
BIV
$28.8B
| $5.05M | 0.19% |
68,739
-6,914
| -9% | -$535K |
|
116
IBM
IBM
$202B
| $5.01M | 0.19% |
42,210
-1,171
| -3% | -$154K |
|
117
United Parcel Service
UPS
$97.6B
| $4.99M | 0.19% |
30,863
-770
| -2% | -$146K |
|
118
Fidelity MSCI Energy Index ETF
FENY
$2.02B
| $4.9M | 0.19% |
246,510
-5,409
| -2% | -$112K |
|
119
iShares Ultra Short Duration Bond Active ETF
ICSH
$7.97B
| $4.88M | 0.19% |
97,484
-3,690
| -4% | -$185K |
|
|
120
Innovator Defined Wealth Shield ETF
BALT
$2.66B
| $4.81M | 0.18% |
+186,454
| New | +$4.86M |
|
121
Southern Company
SO
$110B
| $4.8M | 0.18% |
70,546
-2,472
| -3% | -$187K |
|
122
Avantis US Small Cap Value ETF
AVUV
$29.7B
| $4.79M | 0.18% |
72,378
+4,033
| +6% | +$294K |
|
|
HDV
123
iShares Core High Dividend ETF
HDV
$14.4B
| $4.75M | 0.18% |
260,330
-3,630
| -1% | -$73.4K |
|
|
124
Innovator Power Buffer Step-Up Strategy ETF
PSTP
$132M
| $4.69M | 0.18% |
+198,875
| New | +$4.94M |
|
125
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.8B
| $4.68M | 0.18% |
16,280
+4,353
| +36% | +$1.38M |
|
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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.