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Sigma Planning Corp

Sigma Planning Corp Portfolio holdings

AUM $3.88B Turnover 15.86%
1-Year Est. Return 23.38%
 

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.

This Fund
S&P 500
This Quarter Est. Return
+2.21%
1 Year Est. Return
+23.38%
3 Year Est. Return
+97.51%
5 Year Est. Return
+104.89%
10 Year Est. Return
+349.11%
AUM
$3.88B
AUM Growth
-$88.7M
Cap. Flow
-$109M
Cap. Flow %
-2.8%
Top 10 Hldgs %
24.88%
Holding
1,482
New
78
Increased
518
Reduced
682
Closed
157
Avg Time Held Equity + Options
4.6 years
Top 10 Avg Time Held Equity + Options
6.7 years
Top 20 Avg Time Held Equity + Options
4.7 years
Avg Time Held Equity only
4.6 years
Top 10 Avg Time Held Equity only
6.7 years
Top 20 Avg Time Held Equity only
5.1 years

Top Buys

Rank Stock Value
1
DYNF icon
BlackRock US Equity Factor Rotation ETF
DYNF
+$5.36M
2
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$3.47M
3
LENS icon
Sarmaya Thematic ETF
LENS
+$2.97M
4
VB icon
Vanguard Morningstar Small-Cap ETF
VB
+$2.92M
5
PLTR icon
Palantir
PLTR
+$2.8M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$6.05M
2
JEPQ icon
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
+$5.64M
3
IDEF icon
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
+$5.59M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.76M
5
VOO icon
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
AA icon
1326
Alcoa
AA
$11B
– –
-22,913
Closed -$1.19M –
ABR icon
1327
Arbor Realty Trust
ABR
$291M
– –
-21,367
Closed -$116K –
AGGH icon
1328
Simplify Aggregate Bond ETF
AGGH
$415M
– –
-12,461
Closed -$251K –
AJG icon
1329
Arthur J. Gallagher & Co
AJG
$71.3B
– –
-1,432
Closed -$329K –
APLD icon
1330
Applied Digital
APLD
$4.95B
– –
-42,189
Closed -$1.57M –
ARIS icon
1331
Aris Mining
ARIS
$3.35B
– –
-50,563
Closed -$754K –
AZO icon
1332
AutoZone
AZO
$52B
– –
-115
Closed -$367K –
BDX icon
1333
Becton Dickinson
BDX
$57.9B
– –
-1,695
Closed -$257K –
BGLD icon
1334
FT Vest Gold Strategy Quarterly Buffer ETF
BGLD
$54.6M
– –
-45,540
Closed -$742K –
BHP icon
1335
BHP
BHP
$210B
– –
-15,836
Closed -$1.32M –
BKH icon
1336
Black Hills Corp
BKH
$6.55B
– –
-2,847
Closed -$212K –
BKGI icon
1337
BNY Mellon Global Infrastructure Income ETF
BKGI
$1.97B
– –
-17,017
Closed -$765K –
BOND icon
1338
PIMCO Active Bond Exchange-Traded Fund
BOND
$9.19B
– –
-3,728
Closed -$344K –
BVN icon
1339
Compañía de Minas Buenaventura
BVN
$7.24B
– –
-27,887
Closed -$817K –
BW icon
1340
Babcock & Wilcox
BW
$547M
– –
-32,774
Closed -$462K –
CBRE icon
1341
CBRE Group
CBRE
$39.9B
– –
-2,047
Closed -$276K –
CDE icon
1342
Coeur Mining
CDE
$16.6B
– –
-10,392
Closed -$170K –
CI icon
1343
Cigna
CI
$77.7B
– –
-751
Closed -$207K –
CLH icon
1344
Clean Harbors
CLH
$15.1B
– –
-715
Closed -$214K –
COHR icon
1345
Coherent
COHR
$42.9B
– –
-5,310
Closed -$2.09M –
CP icon
1346
Canadian Pacific Kansas City
CP
$81.1B
– –
-2,898
Closed -$251K –
CPRT icon
1347
Copart
CPRT
$29.7B
– –
-7,191
Closed -$203K –
CRK icon
1348
Comstock Resources
CRK
$4.05B
– –
-13,969
Closed -$208K –
CRS icon
1349
Carpenter Technology
CRS
$14.5B
– –
-595
Closed -$367K –
CSHI icon
1350
NEOS Enhanced Income 1-3 Month T-Bill ETF
CSHI
$2.14B
– –
-4,074
Closed -$203K –
52 53
54
55 56

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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.