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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
TWLO icon
1301
Twilio
TWLO
$29.1B
– –
-5,273
Closed -$336K
UAL icon
1302
United Airlines
UAL
$38.4B
– –
-4,519
Closed -$248K
UNG icon
1303
United States Natural Gas Fund
UNG
$470M
– –
-2,854
Closed -$84.7K
VALE icon
1304
Vale
VALE
$62.9B
– –
-10,348
Closed -$139K
VGK icon
1305
Vanguard FTSE Europe ETF
VGK
$30B
– –
-3,741
Closed -$231K
XSMO icon
1306
Invesco S&P SmallCap Momentum ETF
XSMO
$3.02B
– –
-7,145
Closed -$346K
PVLA
1307
Palvella Therapeutics
PVLA
$1.98B
– –
-326
Closed -$4.32K
VTNR
1308
DELISTED
Vertex Energy, Inc
VTNR
– –
-14,350
Closed -$89.7K
TUP
1309
DELISTED
Tupperware Brands Corporation
TUP
– –
-51,648
Closed -$116K
CHS
1310
DELISTED
Chicos FAS, Inc.
CHS
– –
-24,170
Closed -$129K
HLGN
1311
DELISTED
Heliogen, Inc.
HLGN
– –
-327
Closed -$2.8K
SDC
1312
DELISTED
SmileDirectClub, Inc. Class A Common Stock
SDC
– –
-26,315
Closed -$13.9K
TRTN
1313
DELISTED
Triton International Limited
TRTN
– –
-3,050
Closed -$254K
RETA
1314
DELISTED
Reata Pharmaceuticals, Inc. Class A Common Stock
RETA
– –
-3,775
Closed -$385K
MMP
1315
DELISTED
Magellan Midstream Partners, L.P.
MMP
– –
-5,851
Closed -$365K
RTL
1316
DELISTED
The Necessity Retail REIT, Inc. Class A Common Stock
RTL
– –
-43,459
Closed -$294K
AMRS
1317
DELISTED
Amyris Inc.
AMRS
– –
-11,100
Closed -$11.4K
APPH
1318
DELISTED
AppHarvest, Inc. Common Stock
APPH
– –
-13,537
Closed -$5.01K
NSL
1319
DELISTED
NUVEEN SENIOR INCM FD
NSL
– –
-10,365
Closed -$47.5K
JRO
1320
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
– –
-34,931
Closed -$272K
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.