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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
+2.4%
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
$3.18B
AUM Growth
-$79.9M
Cap. Flow
-$97.3M
Cap. Flow %
-3.05%
Top 10 Hldgs %
27.03%
Holding
1,277
New
66
Increased
498
Reduced
566
Closed
115

Top Buys

Rank Stock Value
1
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$5.36M
2
DUKQ
Ocean Park Domestic ETF
DUKQ
+$5.35M
3
SDVY icon
First Trust SMID Cap Rising Dividend Achievers ETF
SDVY
+$3.6M
4
MGOV icon
First Trust Intermediate Government Opportunities ETF
MGOV
+$2.91M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$2.77M

Top Sells

Rank Stock Value
1
FDEC icon
FT Vest US Equity Buffer ETF December
FDEC
+$16.3M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.68M
3
JANW icon
AllianzIM U.S. Equity Buffer20 Jan ETF
JANW
+$7.37M
4
FIXD icon
First Trust Smith Opportunistic Fixed Income ETF
FIXD
+$4.97M
5
AMZN icon
Amazon
AMZN
+$4.83M

Sector Composition

Rank Sector Weight
1 Technology 14.13%
2 Consumer Discretionary 4.56%
3 Financials 4.27%
4 Healthcare 3.68%
5 Industrials 3.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NEM icon
1226
Newmont
NEM
$98.2B
– –
-5,083
Closed -$272K
NGG icon
1227
National Grid
NGG
$82.7B
– –
-3,679
Closed -$242K
NMAI icon
1228
Nuveen Multi-Asset Income Fund
NMAI
$460M
– –
-16,167
Closed -$214K
NOTV
1229
DELISTED
Inotiv
NOTV
– –
-10,500
Closed -$17.9K
NULG icon
1230
Nuveen ESG Large-Cap Growth ETF
NULG
$2.67B
– –
-3,355
Closed -$277K
OMC icon
1231
Omnicom Group
OMC
$22.7B
– –
-2,153
Closed -$223K
OTIS icon
1232
Otis Worldwide
OTIS
$27.4B
– –
-2,048
Closed -$213K
PCY icon
1233
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.38B
– –
-11,750
Closed -$253K
PHM icon
1234
Pultegroup
PHM
$24.5B
– –
-1,802
Closed -$259K
PINS icon
1235
Pinterest
PINS
$12.4B
– –
-8,047
Closed -$260K
PJUN icon
1236
Innovator US Equity Power Buffer ETF June
PJUN
$949M
– –
-7,709
Closed -$284K
PPL
1237
PPL Corp
PPL
$27.3B
– –
-6,730
Closed -$223K
PSA icon
1238
Public Storage
PSA
$60.2B
– –
-654
Closed -$238K
PZA icon
1239
Invesco National AMT-Free Municipal Bond ETF
PZA
$4.19B
– –
-8,426
Closed -$203K
QQQ icon
1240
PUT
Invesco QQQ Trust
QQQ
$455B
– –
-115,600
Closed -$291K
R icon
1241
Ryder
R
$10.3B
– –
-1,429
Closed -$208K
RIVN icon
1242
Rivian
RIVN
$22.9B
– –
-10,702
Closed -$120K
RSPH icon
1243
Invesco S&P 500 Equal Weight Health Care ETF
RSPH
$741M
– –
-12,291
Closed -$396K
RVT icon
1244
Royce Value Trust
RVT
$2.21B
– –
-28,972
Closed -$455K
RWAY icon
1245
Runway Growth Finance
RWAY
$228M
– –
-10,200
Closed -$105K
RWT
1246
Redwood Trust
RWT
$616M
– –
-10,656
Closed -$82.4K
SCCO icon
1247
Southern Copper
SCCO
$141B
– –
-2,033
Closed -$221K
SCZ icon
1248
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.5B
– –
-6,538
Closed -$443K
SMLF icon
1249
iShares US Small Cap Equity Factor ETF
SMLF
$4.07B
– –
-6,200
Closed -$411K
SPHY icon
1250
State Street SPDR Portfolio High Yield Bond ETF
SPHY
$11.4B
– –
-21,559
Closed -$518K
48 49
50
51 52

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WWA
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Sigma Planning Corp's Q4 2024 Portfolio in Review

As of Q4 2024, Sigma Planning Corp held 1,277 positions worth $3.18B, down 2.4% from $3.26B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Sigma Planning Corp withdrew a net $97.3M in Q4 2024, closing 115 positions and reducing 566 holdings. Its most notable exit was State Street SPDR EURO STOXX 50 ETF, an estimated $3.8M position sold in full.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 13% a quarter earlier, followed by Consumer Discretionary and Financials.

Against the trend, Sigma Planning Corp opened a new position in LHA Market State Tactical Beta ETF worth $5.26M.

  • Sigma Planning Corp's largest Q4 2024 buy was LHA Market State Tactical Beta ETF: 155,539 shares worth $5.26M.
  • Sigma Planning Corp added most to First Trust SMID Cap Rising Dividend Achievers ETF in Q4 2024, an estimated $3.6M increase.
  • Sigma Planning Corp's biggest Q4 2024 reduction was FT Vest US Equity Buffer ETF December, cutting an estimated $16.3M.
  • Sigma Planning Corp fully exited State Street SPDR EURO STOXX 50 ETF in Q4 2024, selling an estimated $3.8M.
  • Sigma Planning Corp's ten largest holdings make up 27% of its $3.18B portfolio in Q4 2024.
  • Sigma Planning Corp opened 66 new positions and closed 115 in Q4 2024.
  • Sigma Planning Corp's portfolio value fell 2.4% quarter-over-quarter to $3.18B.

Based on Sigma Planning Corp's 13F filing for Q4 2024, filed 3 Feb 2025.