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SPC

Sigma Planning Corp Portfolio holdings

AUM $3.97B
1-Year Est. Return 32.34%
This Fund
S&P 500
This Quarter Est. Return
-3.05%
1 Year Est. Return
+32.34%
3 Year Est. Return
+87.34%
5 Year Est. Return
+99.61%
10 Year Est. Return
+350.72%
AUM
$2.67B
AUM Growth
-$117M
Cap. Flow
-$17.5M
Cap. Flow %
-0.66%
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 Miscellaneous 60.58%
2 Technology 11.22%
3 Healthcare 4.68%
4 Consumer Discretionary 4.34%
5 Financials 4.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IYM icon
1251
iShares US Basic Materials ETF
IYM
$1.17B
– –
-2,037
Closed -$271K
JPC icon
1252
Nuveen Preferred & Income Opportunities Fund
JPC
$2.64B
– –
-10,510
Closed -$68.1K
JPSE icon
1253
JPMorgan Diversified Return US Small Cap Equity ETF
JPSE
$580M
– –
-11,230
Closed -$460K
KDP icon
1254
Keurig Dr Pepper
KDP
$43.3B
– –
-7,364
Closed -$230K
KGC icon
1255
Kinross Gold
KGC
$33B
– –
-47,980
Closed -$229K
KRE icon
1256
State Street SPDR S&P Regional Banking ETF
KRE
$4.23B
– –
-5,615
Closed -$229K
KRNT icon
1257
Kornit Digital
KRNT
$656M
– –
-12,687
Closed -$373K
KSS icon
1258
Kohl's
KSS
$1.87B
– –
-13,312
Closed -$307K
LUV icon
1259
Southwest Airlines
LUV
$19.2B
– –
-12,787
Closed -$463K
LYTS icon
1260
LSI Industries
LYTS
$758M
– –
-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
$2.74B
– –
-4,059
Closed -$279K
MET icon
1263
MetLife
MET
$61.8B
– –
-4,225
Closed -$239K
MIDD icon
1264
Middleby
MIDD
$5.08B
– –
-1,957
Closed -$289K
MMD
1265
NYLIM MacKay DefinedTerm Muni Opportunities Fund
MMD
$266M
– –
-16,400
Closed -$280K
MNTS icon
1266
Momentus
MNTS
$89.8M
– –
-7
Closed -$28.3K
MP icon
1267
MP Materials
MP
$8.73B
– –
-9,122
Closed -$209K
NGD
1268
DELISTED
New Gold Inc
NGD
– –
-186,710
Closed -$202K
NGL icon
1269
NGL Energy Partners
NGL
$2.04B
– –
-15,004
Closed -$58.4K
NTRS icon
1270
Northern Trust
NTRS
$32.3B
– –
-3,068
Closed -$227K
OGI
1271
Organigram Holdings
OGI
$153M
– –
-9,308
Closed -$14.5K
ONEY icon
1272
State Street SPDR Russell 1000 Yield Focus ETF
ONEY
$647M
– –
-4,973
Closed -$474K
ONON icon
1273
On Holding
ONON
$9.07B
– –
-47,459
Closed -$1.57M
OVV icon
1274
Ovintiv
OVV
$17.4B
– –
-6,540
Closed -$249K
PAAS icon
1275
Pan American Silver
PAAS
$19.7B
– –
-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 Miscellaneous at 61% of assets, up from 60% a quarter earlier, followed by Technology and Healthcare.

  • 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.