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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
CSTM icon
1351
Constellium
CSTM
$2.93B
– –
-10,463
Closed -$333K –
CVIE icon
1352
Calvert International Responsible Index ETF
CVIE
$485M
– –
-11,984
Closed -$1.02M –
CW icon
1353
Curtiss-Wright
CW
$16.8B
– –
-1,567
Closed -$1.19M –
CYTK icon
1354
Cytokinetics
CYTK
$7.48B
– –
-2,724
Closed -$232K –
DCO icon
1355
Ducommun
DCO
$2.04B
– –
-1,086
Closed -$201K –
DCOR icon
1356
U.S. Core Equity 1 Portfolio ETF Class Shares
DCOR
$3.46B
– –
-16,149
Closed -$1.32M –
DDOG icon
1357
Datadog
DDOG
$64.6B
– –
-4,702
Closed -$1.22M –
DFAI icon
1358
Dimensional International Core Equity Market ETF
DFAI
$17.8B
– –
-16,499
Closed -$681K –
DFAX icon
1359
Dimensional World ex US Core Equity 2 ETF
DFAX
$11.8B
– –
-6,503
Closed -$240K –
DGII icon
1360
Digi International
DGII
$2.4B
– –
-15,000
Closed -$1.12M –
DGT icon
1361
State Street SPDR Global Dow ETF
DGT
$649M
– –
-1,137
Closed -$210K –
DHI icon
1362
D.R. Horton
DHI
$41.3B
– –
-1,406
Closed -$229K –
DINT icon
1363
Davis Select International ETF
DINT
$265M
– –
-42,288
Closed -$1.21M –
DRS icon
1364
Leonardo DRS
DRS
$9.08B
– –
-20,454
Closed -$873K –
DVA icon
1365
DaVita
DVA
$12B
– –
-939
Closed -$209K –
DY icon
1366
Dycom Industries
DY
$6.26B
– –
-429
Closed -$217K –
AXIA
1367
DELISTED
AXIA Energia
AXIA
– –
-100,472
Closed -$1.06M –
EDV icon
1368
Vanguard World Funds Extended Duration ETF
EDV
$3.94B
– –
-35,302
Closed -$2.3M –
ESI icon
1369
Element Solutions
ESI
$7.61B
– –
-25,000
Closed -$1.19M –
FDMO icon
1370
Fidelity Momentum Factor ETF
FDMO
$778M
– –
-3,782
Closed -$373K –
FLEX icon
1371
Flex
FLEX
$25.7B
– –
-11,680
Closed -$1.89M –
FN icon
1372
Fabrinet
FN
$11.7B
– –
-411
Closed -$231K –
HIG icon
1373
Hartford Financial Services
HIG
$35.8B
– –
-1,689
Closed -$224K –
HUBB icon
1374
Hubbell
HUBB
$22.7B
– –
-450
Closed -$235K –
IAUM icon
1375
iShares Gold Trust Micro
IAUM
$6.43B
– –
-5,464
Closed -$219K –
53 54
55
56 57

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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.