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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
+7.79%
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
$2.8B
AUM Growth
+$174M
Cap. Flow
+$10.8M
Cap. Flow %
0.38%
Top 10 Hldgs %
18.84%
Holding
1,367
New
106
Increased
504
Reduced
608
Closed
106

Top Buys

Rank Stock Value
1
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$13M
2
JEPI icon
JPMorgan Equity Premium Income ETF
JEPI
+$12.7M
3
FDL icon
First Trust Morningstar Dividend Leaders Index Fund
FDL
+$11M
4
NOC icon
Northrop Grumman
NOC
+$5.33M
5
DDEC icon
FT Vest US Equity Deep Buffer ETF December
DDEC
+$5.05M

Top Sells

Rank Stock Value
1
FVD icon
First Trust Value Line Dividend Fund
FVD
+$9.27M
2
JVAL icon
JPMorgan US Value Factor ETF
JVAL
+$8.95M
3
BSCM
Invesco BulletShares 2022 Corporate Bond ETF
BSCM
+$8.18M
4
AAPL icon
Apple
AAPL
+$4.58M
5
CFO icon
VictoryShares US 500 Enhanced Volatility Wtd ETF
CFO
+$3.39M

Sector Composition

Rank Sector Weight
1 Technology 8.95%
2 Healthcare 5.48%
3 Financials 4.46%
4 Consumer Discretionary 4.03%
5 Industrials 3.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ILCB icon
1301
iShares Morningstar US Equity ETF
ILCB
$1.26B
– –
-5,713
Closed -$282K
IVOL icon
1302
Quadratic Interest Rate Volatility and Inflation Hedge ETF
IVOL
$274M
– –
-55,887
Closed -$1.24M
JRI icon
1303
Nuveen Real Asset Income & Growth Fund
JRI
$358M
– –
-10,282
Closed -$115K
KIO
1304
KKR Income Opportunities Fund
KIO
$450M
– –
-11,229
Closed -$128K
LOUP icon
1305
Innovator Deepwater Frontier Tech ETF
LOUP
$202M
– –
-16,326
Closed -$438K
LITS
1306
Lite Strategy Inc
LITS
$33.6M
– –
-32,053
Closed -$248K
MFC icon
1307
Manulife Financial
MFC
$72.6B
– –
-15,428
Closed -$242K
AFGR
1308
First Trust Active Factor Large Cap Growth ETF
AFGR
$90.5M
– –
-126,347
Closed -$2.06M
MP icon
1309
MP Materials
MP
$7.35B
– –
-8,337
Closed -$228K
MSFT icon
1310
CALL
Microsoft
MSFT
$2.84T
– –
-1,100
Closed -$256K
MTB icon
1311
M&T Bank
MTB
$36.2B
– –
-1,349
Closed -$238K
NAD icon
1312
Nuveen Quality Municipal Income Fund
NAD
$2.71B
– –
-10,458
Closed -$115K
NMZ icon
1313
Nuveen Municipal High Income Opportunity Fund
NMZ
$2.2B
– –
-10,933
Closed -$112K
NUSC icon
1314
Nuveen ESG Small-Cap ETF
NUSC
$1.28B
– –
-8,344
Closed -$268K
NWL icon
1315
Newell Brands
NWL
$2.16B
– –
-29,030
Closed -$403K
NZF icon
1316
Nuveen Municipal Credit Income Fund
NZF
$2.4B
– –
-10,471
Closed -$119K
OLED icon
1317
PUT
Universal Display
OLED
$3.71B
– –
-3,700
Closed -$349K
PDP icon
1318
Invesco Dorsey Wright Momentum ETF
PDP
$1.5B
– –
-4,333
Closed -$293K
POWA icon
1319
Invesco Bloomberg Pricing Power ETF
POWA
$174M
– –
-6,772
Closed -$408K
P
1320
Everpure Inc
P
$24.8B
– –
-7,398
Closed -$202K
QQQ icon
1321
PUT
Invesco QQQ Trust
QQQ
$455B
– –
-1,500
Closed -$401K
REMX icon
1322
VanEck Rare Earth/Strategic Metals ETF
REMX
$2.03B
– –
-2,508
Closed -$209K
RISN icon
1323
Inspire Capital Appreciation ETF
RISN
$74.1M
– –
-8,875
Closed -$205K
RIVN icon
1324
Rivian
RIVN
$22.9B
– –
-6,877
Closed -$226K
SAM icon
1325
Boston Beer
SAM
$1.88B
– –
-756
Closed -$245K
51 52
53
54 55

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Sigma Planning Corp's Q4 2022 Portfolio in Review

As of Q4 2022, Sigma Planning Corp held 1,367 positions worth $2.8B, up 6.6% from $2.62B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Sigma Planning Corp's Q4 2022 filing shows 106 new, 504 increased, 608 reduced and 106 closed positions. Its largest new stake was FT Vest US Equity Deep Buffer ETF December: 166,118 shares worth $5.08M. The largest sale was First Trust Value Line Dividend Fund, an estimated $9.27M.

By sector, the portfolio is most concentrated in Technology at 9% of assets, down from 9.9% a quarter earlier, followed by Healthcare and Financials.

  • Sigma Planning Corp's largest Q4 2022 buy was FT Vest US Equity Deep Buffer ETF December: 166,118 shares worth $5.08M.
  • Sigma Planning Corp added most to JPMorgan Ultra-Short Income ETF in Q4 2022, an estimated $13M increase.
  • Sigma Planning Corp's biggest Q4 2022 reduction was First Trust Value Line Dividend Fund, cutting an estimated $9.27M.
  • Sigma Planning Corp fully exited Invesco BulletShares 2022 Corporate Bond ETF in Q4 2022, selling an estimated $8.18M.
  • Sigma Planning Corp's ten largest holdings make up 19% of its $2.8B portfolio in Q4 2022.
  • Sigma Planning Corp opened 106 new positions and closed 106 in Q4 2022.
  • Sigma Planning Corp's portfolio value rose 6.6% quarter-over-quarter to $2.8B.

Based on Sigma Planning Corp's 13F filing for Q4 2022, filed 24 Jan 2023.