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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
-0.42%
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
$3.32B
AUM Growth
-$30.1M
Cap. Flow
+$18.8M
Cap. Flow %
0.57%
Top 10 Hldgs %
19.8%
Holding
1,540
New
127
Increased
671
Reduced
531
Closed
168

Top Buys

Rank Stock Value
1
SCHG icon
Schwab US Large-Cap Growth ETF
SCHG
+$13.7M
2
JVAL icon
JPMorgan US Value Factor ETF
JVAL
+$9.67M
3
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$8.51M
4
VLUE icon
iShares MSCI USA Value Factor ETF
VLUE
+$8.04M
5
RPG icon
Invesco S&P 500 Pure Growth ETF
RPG
+$7.21M

Top Sells

Rank Stock Value
1
SPHB icon
Invesco S&P 500 High Beta ETF
SPHB
+$11.9M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$10.3M
3
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$7.75M
4
RPV icon
Invesco S&P 500 Pure Value ETF
RPV
+$7.34M
5
BBWI icon
Bath & Body Works
BBWI
+$7.26M

Sector Composition

Rank Sector Weight
1 Technology 11.42%
2 Consumer Discretionary 5.83%
3 Financials 4.89%
4 Healthcare 4.72%
5 Communication Services 4.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADAM
1326
Adamas Trust
ADAM
$783M
$83K ﹤0.01%
4,879
-247
-5% -$4.3K
SER icon
1327
Serina Therapeutics
SER
$31.5M
$83K ﹤0.01%
2,508
+1,038
+71% +$43.5K
TTI icon
1328
TETRA Technologies
TTI
$1.14B
$76K ﹤0.01%
24,481
– –
VVR icon
1329
Invesco Senior Income Trust
VVR
$456M
$75K ﹤0.01%
16,882
-736
-4% -$3.2K
ACTG icon
1330
Acacia Research
ACTG
$447M
$73K ﹤0.01%
10,700
– –
STEX
1331
Streamex Corp
STEX
$76.9M
$72K ﹤0.01%
2,400
-512
-18% -$16.6K
IAF
1332
abrdn Australia Equity Fund
IAF
$120M
$70K ﹤0.01%
3,940
+10
+0.3% +$189
NNDM
1333
Nano Dimension
NNDM
$312M
$67K ﹤0.01%
11,877
+495
+4% +$3.12K
SB icon
1334
Safe Bulkers
SB
$766M
$62K ﹤0.01%
11,943
+100
+0.8% +$386
AGEN
1335
CALL
Agenus
AGEN
$255M
$61K ﹤0.01%
+591
New +$66.8K
NSL
1336
DELISTED
NUVEEN SENIOR INCM FD
NSL
$61K ﹤0.01%
10,365
-450
-4% -$2.62K
LYG icon
1337
Lloyds Banking Group
LYG
$89B
$60K ﹤0.01%
24,392
-4,472
-15% -$11K
SCPX
1338
DELISTED
Scorpius Holdings, Inc.
SCPX
$60K ﹤0.01%
3
– –
FAX
1339
abrdn Asia-Pacific Income Fund
FAX
$597M
$59K ﹤0.01%
+2,385
New +$61.2K
RIG icon
1340
Transocean
RIG
$5.84B
$57K ﹤0.01%
14,949
-210
-1% -$764
OPK icon
1341
Opko Health
OPK
$936M
$56K ﹤0.01%
15,402
– –
SJT
1342
San Juan Basin Royalty Trust
SJT
$118M
$56K ﹤0.01%
11,017
+217
+2% +$1.05K
NOK icon
1343
CALL
Nokia
NOK
$51.8B
$54K ﹤0.01%
10,000
– –
EVGN icon
1344
Evogene
EVGN
$6.29M
$53K ﹤0.01%
2,011
-500
-20% -$14.6K
ONCT
1345
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
$51K ﹤0.01%
609
-24
-4% -$1.99K
SOS
1346
CALL
SOS Limited
SOS
$18M
$50K ﹤0.01%
31
-6
-16% -$12K
CEMI
1347
DELISTED
Chembio diagnostics, Inc.
CEMI
$48K ﹤0.01%
19,300
+1,500
+8% +$4.16K
ABUS icon
1348
Arbutus Biopharma
ABUS
$871M
$47K ﹤0.01%
11,000
-15,000
-58% -$50K
CLWT icon
1349
Euro Tech Holdings
CLWT
$11.7M
$46K ﹤0.01%
21,908
-14,992
-41% -$36.5K
SOS
1350
SOS Limited
SOS
$18M
$46K ﹤0.01%
29
-58
-67% -$116K
52 53
54
55 56

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ACM
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WWA
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Sigma Planning Corp's Q3 2021 Portfolio in Review

As of Q3 2021, Sigma Planning Corp held 1,540 positions worth $3.32B, down 0.9% from $3.36B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp's Q3 2021 filing shows 127 new, 671 increased, 531 reduced and 168 closed positions. Its largest new stake was VictoryShares US 500 Enhanced Volatility Wtd ETF: 55,783 shares worth $3.97M. The largest sale was Invesco S&P 500 High Beta ETF, an estimated $11.9M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, up from 11% a quarter earlier, followed by Consumer Discretionary and Financials.

  • Sigma Planning Corp's largest Q3 2021 buy was VictoryShares US 500 Enhanced Volatility Wtd ETF: 55,783 shares worth $3.97M.
  • Sigma Planning Corp added most to Schwab US Large-Cap Growth ETF in Q3 2021, an estimated $13.7M increase.
  • Sigma Planning Corp's biggest Q3 2021 reduction was Invesco S&P 500 High Beta ETF, cutting an estimated $11.9M.
  • Sigma Planning Corp fully exited Invesco S&P 500 Pure Value ETF in Q3 2021, selling an estimated $7.34M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $3.32B portfolio in Q3 2021.
  • Sigma Planning Corp opened 127 new positions and closed 168 in Q3 2021.
  • Sigma Planning Corp's portfolio value fell 0.9% quarter-over-quarter to $3.32B.

Based on Sigma Planning Corp's 13F filing for Q3 2021, filed 28 Oct 2021.