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 | |
|---|---|---|---|---|---|---|---|
1226
SM Energy
SM
$7.03B
| $215K | 0.01% |
+6,362
| New | +$213K |
2026 Q3
0 quarters
|
|
1227
iShares Russell 2500 ETF
SMMD
$4.12B
| $214K | 0.01% |
2,500
| – | – |
2026 Q2
1 quarter
|
|
1228
UGI
UGI
$7.94B
| $213K | 0.01% |
5,958
-322
| -5% | -$11.8K |
2024 Q1
10 quarters
|
|
1229
T. Rowe Price Ultra Short-Term Bond ETF
TBUX
$1.99B
| $212K | 0.01% |
+4,281
| New | +$213K |
2026 Q3
0 quarters
|
|
1230
DigitalOcean
DOCN
$8.55B
| $212K | 0.01% |
1,586
+114
| +8% | +$14.3K |
2026 Q2
1 quarter
|
|
1231
JFrog
FROG
$12.5B
| $211K | 0.01% |
2,178
-25
| -1% | -$2.24K |
2026 Q2
1 quarter
|
|
1232
Calamos Bitcoin Structured Alt Protection ETF - January
CBOJ
$16.9M
| $211K | 0.01% |
8,655
+83
| +1% | +$2.03K |
2026 Q1
2 quarters
|
|
1233
FT Vest US Equity Buffer ETF September
FSEP
$1.4B
| $209K | 0.01% |
3,661
| – | – |
2026 Q2
1 quarter
|
|
1234
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
$4.59B
| $209K | 0.01% |
1,954
+74
| +4% | +$8.46K |
2016 Q2
41 quarters
|
|
1235
Innovator US Equity Power Buffer ETF May
PMAY
$770M
| $209K | 0.01% |
4,940
-132
| -3% | -$5.53K |
2026 Q2
1 quarter
|
|
1236
Invesco Large Cap Growth ETF
PWB
$2.3B
| $209K | 0.01% |
1,286
| – | – |
2026 Q2
1 quarter
|
|
1237
Assured Guaranty
AGO
$3.23B
| $209K | 0.01% |
3,079
-1
| -0% | -$78 |
2024 Q1
10 quarters
|
|
1238
Calamos Nasdaq-100 Structured Alt Protection ETF - December
CPNQ
$19.3M
| $208K | 0.01% |
7,470
-2
| -0% | -$55 |
2026 Q2
1 quarter
|
|
1239
Innovator Equity Defined Protection ETF - 1 Yr September
ZSEP
$260M
| $208K | 0.01% |
+7,467
| New | +$207K |
2026 Q3
0 quarters
|
|
1240
Global X Uranium ETF
URA
$4.47B
| $207K | 0.01% |
5,198
-3,949
| -43% | -$169K |
2025 Q2
5 quarters
|
|
1241
Manulife Financial
MFC
$71.4B
| $207K | 0.01% |
4,863
-2,156
| -31% | -$93.4K |
2024 Q2
9 quarters
|
|
1242
Franklin US Mid Cap Multifactor Index ETF
FLQM
$1.47B
| $206K | 0.01% |
3,591
-268
| -7% | -$16.1K |
2024 Q1
10 quarters
|
|
1243
Motley Fool 100 Index ETF
TMFC
$1.98B
| $206K | 0.01% |
2,631
-6
| -0.2% | -$472 |
2026 Q2
1 quarter
|
|
1244
Ameren
AEE
$31.2B
| $206K | 0.01% |
2,069
| – | – |
2025 Q2
5 quarters
|
|
1245
Magna International
MGA
$16B
| $206K | 0.01% |
+3,228
| New | +$215K |
2026 Q3
0 quarters
|
|
1246
Northern Trust Quality Dividend ETF
QDF
$2.12B
| $205K | 0.01% |
2,275
+4
| +0.2% | +$365 |
2026 Q2
1 quarter
|
|
1247
C.H. Robinson
CHRW
$14.5B
| $205K | 0.01% |
1,386
+301
| +28% | +$49.1K |
2026 Q2
1 quarter
|
|
1248
iShares MSCI Global Min Vol Factor ETF
ACWV
$3.41B
| $205K | 0.01% |
1,671
-412
| -20% | -$51.4K |
2026 Q2
1 quarter
|
|
1249
iShares U.S. Carbon Transition Readiness Aware Active ETF
LCTU
$1.13B
| $205K | 0.01% |
2,511
-100
| -4% | -$8.17K |
2026 Q2
1 quarter
|
|
1250
Axon Enterprise
AXON
$25.4B
| $204K | 0.01% |
481
-125
| -21% | -$67.5K |
2024 Q1
10 quarters
|
|
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.