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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
IYM icon
1251
iShares US Basic Materials ETF
IYM
$1.16B
– –
-2,037
Closed -$271K
JPC icon
1252
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
– –
-10,510
Closed -$68.1K
JPSE icon
1253
JPMorgan Diversified Return US Small Cap Equity ETF
JPSE
$592M
– –
-11,230
Closed -$460K
KDP icon
1254
Keurig Dr Pepper
KDP
$40.4B
– –
-7,364
Closed -$230K
KGC icon
1255
Kinross Gold
KGC
$28.5B
– –
-47,980
Closed -$229K
KRE icon
1256
State Street SPDR S&P Regional Banking ETF
KRE
$4.86B
– –
-5,615
Closed -$229K
KRNT icon
1257
Kornit Digital
KRNT
$706M
– –
-12,687
Closed -$373K
KSS icon
1258
Kohl's
KSS
$2.03B
– –
-13,312
Closed -$307K
LUV icon
1259
Southwest Airlines
LUV
$22.1B
– –
-12,787
Closed -$463K
LYTS icon
1260
LSI Industries
LYTS
$853M
– –
-13,980
Closed -$176K
MAG
1261
DELISTED
MAG Silver
MAG
– –
-21,581
Closed -$240K
MDYV icon
1262
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
$2.76B
– –
-4,059
Closed -$279K
MET icon
1263
MetLife
MET
$61B
– –
-4,225
Closed -$239K
MIDD icon
1264
Middleby
MIDD
$6.05B
– –
-1,957
Closed -$289K
MMD
1265
MainStay MacKay DefinedTerm Municipal Opportunities Fund
MMD
$283M
– –
-16,400
Closed -$280K
MNTS icon
1266
Momentus
MNTS
$88.7M
– –
-7
Closed -$28.3K
MP icon
1267
MP Materials
MP
$7.35B
– –
-9,122
Closed -$209K
NGD
1268
DELISTED
New Gold Inc
NGD
– –
-186,710
Closed -$202K
NGL icon
1269
NGL Energy Partners
NGL
$1.94B
– –
-15,004
Closed -$58.4K
NTRS icon
1270
Northern Trust
NTRS
$22.2B
– –
-3,068
Closed -$227K
OGI
1271
Organigram Holdings
OGI
$132M
– –
-9,308
Closed -$14.5K
ONEY icon
1272
State Street SPDR Russell 1000 Yield Focus ETF
ONEY
$742M
– –
-4,973
Closed -$474K
ONON icon
1273
On Holding
ONON
$11.9B
– –
-47,459
Closed -$1.57M
OVV icon
1274
Ovintiv
OVV
$17.5B
– –
-6,540
Closed -$249K
PAAS icon
1275
Pan American Silver
PAAS
$18.6B
– –
-16,650
Closed -$243K
49 50
51
52 53

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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.