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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
CGC
1226
Canopy Growth
CGC
$375M
$39K ﹤0.01%
1,430
-1
-0.1% -$31
EVGN icon
1227
Evogene
EVGN
$6.57M
$38K ﹤0.01%
4,536
+1,355
+43% +$13.1K
GTBP icon
1228
GT Biopharma
GTBP
$11.7M
$38K ﹤0.01%
713
– –
AMRS
1229
DELISTED
Amyris Inc.
AMRS
$37K ﹤0.01%
12,587
+81
+0.6% +$221
TRX icon
1230
TRX Gold Corp
TRX
$255M
$36K ﹤0.01%
+91,505
New +$40.1K
XCUR icon
1231
Exicure
XCUR
$11.2M
$34K ﹤0.01%
+4,361
New +$40.8K
TELL
1232
DELISTED
Tellurian Inc.
TELL
$34K ﹤0.01%
14,330
+3,600
+34% +$13K
AQMS icon
1233
Aqua Metals
AQMS
$9.63M
$31K ﹤0.01%
206
+7
+4% +$1.24K
PLG
1234
Platinum Group Metals
PLG
$164M
$30K ﹤0.01%
18,500
-1,000
-5% -$1.49K
AGEN
1235
CALL
Agenus
AGEN
$249M
$29K ﹤0.01%
713
-199
-22% -$10.1K
OPK icon
1236
Opko Health
OPK
$921M
$29K ﹤0.01%
15,402
– –
SDC
1237
DELISTED
SmileDirectClub, Inc. Class A Common Stock
SDC
$27K ﹤0.01%
29,284
– –
NVTA
1238
DELISTED
Invitae Corporation
NVTA
$26K ﹤0.01%
10,692
-12,320
-54% -$37.4K
AGEN
1239
Agenus
AGEN
$249M
$25K ﹤0.01%
616
-37
-6% -$1.89K
CORZ
1240
DELISTED
Core Scientific, Inc. Common Stock
CORZ
$24K ﹤0.01%
+18,500
New +$39.4K
SQFT icon
1241
Presidio Property Trust
SQFT
$3.01M
$20K ﹤0.01%
1,591
+2
+0.1% +$54
STEX
1242
Streamex Corp
STEX
$76.7M
$19K ﹤0.01%
2,900
+200
+7% +$1.56K
CLOV icon
1243
Clover Health Investments
CLOV
$2.28B
$18K ﹤0.01%
10,700
– –
ONCT
1244
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
$18K ﹤0.01%
1,001
– –
ZOM
1245
DELISTED
Zomedica Corp.
ZOM
$17K ﹤0.01%
81,750
-1,000
-1% -$265
VHC icon
1246
CALL
VirnetX Holding Corp
VHC
$52.3M
$15K ﹤0.01%
620
+65
+12% +$2.1K
HCDI
1247
DELISTED
Harbor Custom Development, Inc. Common Stock
HCDI
$15K ﹤0.01%
825
+125
+18% +$3.11K
WPRT
1248
Westport Fuel Systems
WPRT
$36.4M
$12K ﹤0.01%
1,320
+100
+8% +$1.11K
KEEL
1249
Keel Infrastructure Corp
KEEL
$2.57B
$11K ﹤0.01%
10,000
– –
LOGC
1250
DELISTED
ContextLogic
LOGC
$8K ﹤0.01%
350
– –
48 49
50
51 52

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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.