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 | |
|---|---|---|---|---|---|---|---|
1276
CleanSpark
CLSK
$1.58B
| $162K | ﹤0.01% |
12,608
| – | – |
2024 Q1
10 quarters
|
|
1277
374Water
SCWO
$43.2M
| $161K | ﹤0.01% |
55,553
| – | – |
2022 Q3
16 quarters
|
|
1278
Marathon Digital Holdings
MARA
$2.45B
| $152K | ﹤0.01% |
13,454
+802
| +6% | +$9.23K |
2025 Q1
6 quarters
|
|
1279
Eaton Vance Senior Floating-Rate Fund
EFR
$304M
| $151K | ﹤0.01% |
14,482
+41
| +0.3% | +$432 |
2024 Q1
10 quarters
|
|
1280
Alpha Tau Medical
DRTS
$1.27B
| $151K | ﹤0.01% |
+10,100
| New | +$139K |
2026 Q3
0 quarters
|
|
1281
Powerlaw Corp
PWRL
$477M
| $148K | ﹤0.01% |
+13,489
| New | +$159K |
2026 Q3
0 quarters
|
|
1282
Nordic American Tanker
NAT
$1.41B
| $147K | ﹤0.01% |
18,550
+6,614
| +55% | +$45K |
2024 Q3
8 quarters
|
|
1283
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.19B
| $146K | ﹤0.01% |
14,661
-4,109
| -22% | -$45.6K |
2021 Q1
22 quarters
|
|
1284
Nokia
NOK
$43.3B
| $144K | ﹤0.01% |
14,239
-969
| -6% | -$10.1K |
2025 Q4
3 quarters
|
|
1285
Cleveland-Cliffs
CLF
$6.54B
| $144K | ﹤0.01% |
13,092
+366
| +3% | +$4.15K |
2021 Q2
21 quarters
|
|
1286
Heartbeam
BEAT
$22.7M
| $142K | ﹤0.01% |
387,200
+139,500
| +56% | +$70.2K |
2025 Q1
6 quarters
|
|
1287
Red Cat Holdings
RCAT
$617M
| $134K | ﹤0.01% |
20,730
+1,973
| +11% | +$16.7K |
2024 Q1
10 quarters
|
|
1288
Intellia Therapeutics
NTLA
$1.59B
| $131K | ﹤0.01% |
10,892
+751
| +7% | +$9.39K |
2026 Q2
1 quarter
|
|
1289
CALL
Wells Fargo
WFC
$252B
| $130K | ﹤0.01% |
17,000
-3,000
| -15% | -$260K |
2026 Q2
1 quarter
|
|
1290
Invesco Preferred ETF
PGX
$3.57B
| $125K | ﹤0.01% |
12,455
-4,179
| -25% | -$44.4K |
2014 Q4
47 quarters
|
|
1291
BlackRock MuniYield Quality Fund
MQY
$1.61B
| $124K | ﹤0.01% |
12,452
+32
| +0.3% | +$354 |
2026 Q1
2 quarters
|
|
1292
Eaton Vance Floating-Rate Income Trust
EFT
$284M
| $123K | ﹤0.01% |
11,505
+1,418
| +14% | +$15.1K |
2025 Q3
4 quarters
|
|
1293
Redwire
RDW
$1.8B
| $117K | ﹤0.01% |
11,175
-1,973
| -15% | -$21.3K |
2025 Q3
4 quarters
|
|
1294
Safe Bulkers
SB
$809M
| $100K | ﹤0.01% |
11,728
+57
| +0.5% | +$452 |
2024 Q1
10 quarters
|
|
1295
RUM Group Inc
RUM
$1.97B
| $95.9K | ﹤0.01% |
12,688
-200,033
| -94% | -$1.48M |
2021 Q4
19 quarters
|
|
1296
Xerox
XRX
$143M
| $95.3K | ﹤0.01% |
30,103
-3,171
| -10% | -$9.7K |
2025 Q1
6 quarters
|
|
1297
Global Net Lease
GNL
$1.53B
| $92.7K | ﹤0.01% |
11,217
-2,010
| -15% | -$18K |
2015 Q3
44 quarters
|
|
1298
Flowers Foods
FLO
$1.42B
| $91.9K | ﹤0.01% |
16,552
+1,083
| +7% | +$7.74K |
2025 Q4
3 quarters
|
|
1299
Titan International
TWI
$319M
| $91.1K | ﹤0.01% |
12,069
| – | – |
2025 Q1
6 quarters
|
|
1300
PennantPark Floating Rate Capital
PFLT
$683M
| $89.7K | ﹤0.01% |
+12,977
| New | +$93.6K |
2026 Q3
0 quarters
|
|
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.