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 | |
|---|---|---|---|---|---|---|---|
1301
CALL
Uber
UBER
$140B
| $88.7K | ﹤0.01% |
+20,600
| New | +$1.51M |
2026 Q3
0 quarters
|
|
1302
CALL
Ford
F
$49.7B
| $88.1K | ﹤0.01% |
37,500
-3,000
| -7% | -$41.6K |
2025 Q3
4 quarters
|
|
1303
Nuveen Select Maturities Municipal Fund
NIM
$115M
| $87.6K | ﹤0.01% |
10,067
-859
| -8% | -$7.92K |
2024 Q2
9 quarters
|
|
1304
FreightCar America
RAIL
$139M
| $78.2K | ﹤0.01% |
11,589
+212
| +2% | +$1.61K |
2026 Q2
1 quarter
|
|
1305
Prospect Capital
PSEC
$785M
| $76.5K | ﹤0.01% |
36,797
+112
| +0.3% | +$249 |
2014 Q4
47 quarters
|
|
1306
UBS Asset Management Income Fund, Inc.
CIK
$129M
| $74.5K | ﹤0.01% |
31,826
+239
| +0.8% | +$580 |
2017 Q1
38 quarters
|
|
1307
Lithium Americas
LAC
$701M
| $73.7K | ﹤0.01% |
27,327
-1,014
| -4% | -$3.11K |
2026 Q2
1 quarter
|
|
1308
Birchtech Corp
BCHT
$30.3M
| $73.4K | ﹤0.01% |
52,412
| – | – |
2026 Q1
2 quarters
|
|
1309
Banco Bradesco
BBD
$28.4B
| $65.9K | ﹤0.01% |
19,463
-87
| -0.4% | -$298 |
2025 Q3
4 quarters
|
|
1310
Archer Aviation
ACHR
$3.42B
| $63.9K | ﹤0.01% |
12,855
+847
| +7% | +$4.61K |
2026 Q1
2 quarters
|
|
1311
Medical Properties Trust
MPT
$1.08B
| $60.4K | ﹤0.01% |
17,460
-121
| -0.7% | -$509 |
2014 Q4
47 quarters
|
|
1312
PureCycle Technologies
PCT
$336M
| $48.3K | ﹤0.01% |
10,945
+199
| +2% | +$1.28K |
2026 Q1
2 quarters
|
|
1313
Serve Robotics
SERV
$282M
| $48.2K | ﹤0.01% |
10,371
-1,500
| -13% | -$7.52K |
2025 Q4
3 quarters
|
|
1314
Gerdau
GGB
$8.59B
| $40.9K | ﹤0.01% |
13,184
-315
| -2% | -$1.5K |
2025 Q1
6 quarters
|
|
1315
CALL
EntrepreneurShares Series Trust ERShares Private-Public Crossover ETF
XOVR
$1.37B
| $38.4K | ﹤0.01% |
20,200
| – | – |
2026 Q2
1 quarter
|
|
1316
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$780B
| $38.2K | ﹤0.01% |
22,900
-35,800
| -61% | -$27.2M |
2026 Q2
1 quarter
|
|
1317
Oxford Square Capital
OXSQ
$106M
| $28.9K | ﹤0.01% |
22,542
+663
| +3% | +$929 |
2021 Q1
22 quarters
|
|
1318
Plug Power
PLUG
$2.03B
| $27.5K | ﹤0.01% |
14,172
+291
| +2% | +$632 |
2020 Q3
24 quarters
|
|
1319
Opko Health
OPK
$1.28B
| $27.1K | ﹤0.01% |
16,807
+1,000
| +6% | +$1.45K |
2024 Q1
10 quarters
|
|
1320
Gevo
GEVO
$344M
| $22.4K | ﹤0.01% |
17,000
| – | – |
2026 Q1
2 quarters
|
|
1321
Ballard Power Systems
BLDP
$539M
| $21.3K | ﹤0.01% |
10,432
-1,232
| -11% | -$3.17K |
2025 Q3
4 quarters
|
|
1322
TRX Gold Corp
TRX
$318M
| $13.8K | ﹤0.01% |
+11,400
| New | +$11.7K |
2026 Q3
0 quarters
|
|
1323
Lineage Cell Therapeutics
LCTX
$258M
| $9.7K | ﹤0.01% |
+10,115
| New | +$11.2K |
2026 Q3
0 quarters
|
|
1324
Invivyd
IVVD
$166M
| $9.6K | ﹤0.01% |
+11,000
| New | +$8.71K |
2026 Q3
0 quarters
|
|
1325
Xerox Holdings Corp Warrants
XRXDW
$11.6M
| $9.2K | ﹤0.01% |
33,345
| – | – |
2026 Q1
2 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.