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 | |
|---|---|---|---|---|---|---|---|
1251
First Trust Active Factor Small Cap ETF
AFSM
$131M
| $204K | 0.01% |
5,198
| – | – |
2026 Q2
1 quarter
|
|
1252
Liquidity Services
LQDT
$1.41B
| $203K | 0.01% |
+4,750
| New | +$195K |
2026 Q3
0 quarters
|
|
1253
Baidu
BIDU
$26.4B
| $203K | 0.01% |
+1,712
| New | +$173K |
2026 Q3
0 quarters
|
|
1254
DoubleLine Opportunistic Credit Fund
DBL
$261M
| $203K | 0.01% |
+14,982
| New | +$211K |
2026 Q3
0 quarters
|
|
1255
iShares MSCI Malaysia ETF
EWM
$246M
| $203K | 0.01% |
7,826
-11,419
| -59% | -$319K |
2025 Q3
4 quarters
|
|
1256
Invesco Zacks Multi-Asset Income ETF
CVY
$118M
| $202K | 0.01% |
+7,134
| New | +$214K |
2026 Q3
0 quarters
|
|
1257
Boston Beer
SAM
$2.23B
| $201K | 0.01% |
+975
| New | +$173K |
2026 Q3
0 quarters
|
|
1258
American Century US Quality Growth ETF
QGRO
$1.84B
| $201K | 0.01% |
1,716
-35
| -2% | -$4.1K |
2023 Q2
13 quarters
|
|
1259
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$13.6B
| $201K | 0.01% |
+2,207
| New | +$209K |
2026 Q3
0 quarters
|
|
1260
Principal Active High Yield ETF
YLD
$599M
| $198K | 0.01% |
10,714
+147
| +1% | +$2.78K |
2026 Q2
1 quarter
|
|
1261
iShares MSCI Indonesia ETF
EIDO
$399M
| $196K | 0.01% |
11,142
-15,381
| -58% | -$191K |
2025 Q3
4 quarters
|
|
1262
Barings BDC
BBDC
$900M
| $194K | 0.01% |
22,532
-5,316
| -19% | -$46.9K |
2024 Q1
10 quarters
|
|
1263
Hafnia
HAFN
$5.15B
| $193K | 0.01% |
19,400
-6,800
| -26% | -$55.4K |
2024 Q3
8 quarters
|
|
1264
ImmunityBio
IBRX
$6.46B
| $190K | ﹤0.01% |
20,115
+1,100
| +6% | +$8.79K |
2024 Q1
10 quarters
|
|
1265
United States Natural Gas Fund
UNG
$643M
| $185K | ﹤0.01% |
17,876
+2,642
| +17% | +$27.5K |
2025 Q4
3 quarters
|
|
1266
VanEck Mortgage REIT Income ETF
MORT
$295M
| $184K | ﹤0.01% |
21,899
+62
| +0.3% | +$598 |
2024 Q1
10 quarters
|
|
1267
Global X US Preferred ETF
PFFD
$1.83B
| $181K | ﹤0.01% |
10,300
+180
| +2% | +$3.3K |
2026 Q2
1 quarter
|
|
1268
TCW Strategic Income Fund
TSI
$273M
| $180K | ﹤0.01% |
41,952
| – | – |
2017 Q4
35 quarters
|
|
1269
Chimera Investment
CIM
$555M
| $176K | ﹤0.01% |
18,423
+2,929
| +19% | +$34.8K |
2025 Q1
6 quarters
|
|
1270
Oaktree Specialty Lending
OCSL
$1.07B
| $175K | ﹤0.01% |
+14,747
| New | +$183K |
2026 Q3
0 quarters
|
|
1271
Nuveen Preferred & Income Opportunities Fund
JPC
$2.57B
| $169K | ﹤0.01% |
24,845
+117
| +0.5% | +$877 |
2025 Q3
4 quarters
|
|
1272
Ecopetrol
EC
$31.5B
| $169K | ﹤0.01% |
13,667
-396
| -3% | -$6.61K |
2026 Q1
2 quarters
|
|
1273
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$797M
| $166K | ﹤0.01% |
31,365
+49
| +0.2% | +$257 |
2017 Q3
36 quarters
|
|
1274
Live Ventures
LIVE
$22.1M
| $165K | ﹤0.01% |
21,816
+1,139
| +6% | +$10.7K |
2024 Q1
10 quarters
|
|
1275
Franklin Minnesota Municipal Income ETF
FTMN
$190M
| $164K | ﹤0.01% |
20,052
+8,706
| +77% | +$75.2K |
2026 Q2
1 quarter
|
|
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.