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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
VIG icon
101
Vanguard Dividend Appreciation ETF
VIG
$111B
$5.24M 0.2%
33,695
-589
-2% -$95.5K
HDV
102
iShares Core High Dividend ETF
HDV
$14.4B
$5.22M 0.2%
264,170
-1,955
-0.7% -$40K
FV icon
103
First Trust Dorsey Wright Focus 5 ETF
FV
$3.61B
$5.15M 0.19%
116,333
+12,087
+12% +$562K
PSTP icon
104
Innovator Power Buffer Step-Up Strategy ETF
PSTP
$132M
$5.09M 0.19%
191,031
-2,326
-1% -$63.4K
AMGN icon
105
Amgen
AMGN
$203B
$5.07M 0.19%
18,874
-70
-0.4% -$17.5K
HON icon
106
Honeywell
HON
$77.1B
$5.06M 0.19%
29,060
+6,675
+30% +$1.22M
XLP icon
107
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.2B
$5.04M 0.19%
73,177
-5,787
-7% -$424K
PSFF icon
108
Pacer Swan SOS Fund of Funds ETF
PSFF
$586M
$5.02M 0.19%
207,699
-2,629
-1% -$64.3K
IHI icon
109
iShares US Medical Devices ETF
IHI
$3.02B
$5.02M 0.19%
103,416
-3,228
-3% -$172K
IJS icon
110
iShares S&P Small-Cap 600 Value ETF
IJS
$8.11B
$5M 0.19%
56,018
-5,938
-10% -$566K
FBND icon
111
Fidelity Total Bond ETF
FBND
$26.9B
$4.82M 0.18%
110,586
+9,586
+9% +$429K
TIP icon
112
iShares TIPS Bond ETF
TIP
$14.5B
$4.79M 0.18%
46,175
-4,438
-9% -$470K
MRK icon
113
Merck
MRK
$324B
$4.76M 0.18%
46,238
-4,739
-9% -$511K
VYM icon
114
Vanguard High Dividend Yield ETF
VYM
$81.1B
$4.72M 0.18%
45,656
-9,265
-17% -$994K
F icon
115
Ford
F
$57.3B
$4.71M 0.18%
378,909
-25,156
-6% -$327K
DVY icon
116
iShares Select Dividend ETF
DVY
$24B
$4.69M 0.18%
43,547
-6,982
-14% -$794K
IBM icon
117
IBM
IBM
$202B
$4.68M 0.18%
33,386
+1,032
+3% +$147K
DE icon
118
Deere & Co
DE
$170B
$4.66M 0.17%
12,360
-712
-5% -$294K
IMCG icon
119
iShares Morningstar Mid-Cap Growth ETF
IMCG
$3.89B
$4.6M 0.17%
80,504
+12,541
+18% +$757K
VWO icon
120
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$4.57M 0.17%
116,652
+1,701
+1% +$69.4K
IJK icon
121
iShares S&P Mid-Cap 400 Growth ETF
IJK
$10.8B
$4.56M 0.17%
63,119
+14,985
+31% +$1.13M
T icon
122
AT&T
T
$165B
$4.54M 0.17%
302,312
+3,938
+1% +$57.7K
AIRR icon
123
First Trust RBA American Industrial Renaissance ETF
AIRR
$10.5B
$4.46M 0.17%
86,520
+36,281
+72% +$1.95M
IEF icon
124
iShares 7-10 Year Treasury Bond ETF
IEF
$47.1B
$4.45M 0.17%
48,576
+4,947
+11% +$467K
XLU icon
125
State Street Utilities Select Sector SPDR ETF
XLU
$24.1B
$4.41M 0.17%
149,554
+9,780
+7% +$315K
3 4
5
6 7

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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.