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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
RRX icon
1426
Regal Rexnord
RRX
$11.3B
– –
-897
Closed -$214K –
RSPU icon
1427
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
$526M
– –
-2,529
Closed -$205K –
SANM icon
1428
Sanmina
SANM
$7.22B
– –
-896
Closed -$227K –
SAUG icon
1429
FT Vest US Small Cap Moderate Buffer ETF August
SAUG
$127M
– –
-7,347
Closed -$204K –
SCHI icon
1430
Schwab 5-10 Year Corporate Bond ETF
SCHI
$11.2B
– –
-31,313
Closed -$709K –
SCHO icon
1431
Schwab Short-Term US Treasury ETF
SCHO
$15.7B
– –
-37,970
Closed -$917K –
SCHQ icon
1432
Schwab Long-Term US Treasury ETF
SCHQ
$932M
– –
-27,271
Closed -$854K –
SDOG icon
1433
ALPS Sector Dividend Dogs ETF
SDOG
$1.43B
– –
-3,014
Closed -$206K –
SIL icon
1434
Global X Silver Miners ETF NEW
SIL
$3.98B
– –
-2,958
Closed -$229K –
SMLV icon
1435
State Street SPDR US Small Cap Low Volatility Index ETF
SMLV
$257M
– –
-1,369
Closed -$216K –
SMR icon
1436
NuScale Power
SMR
$2.08B
– –
-10,453
Closed -$105K –
SPSM icon
1437
State Street SPDR Portfolio S&P 600 Small Cap ETF
SPSM
$15.7B
– –
-4,920
Closed -$284K –
SRE icon
1438
Sempra
SRE
$51.1B
– –
-2,482
Closed -$230K –
STRO icon
1439
Sutro Biopharma
STRO
$160M
– –
-45,020
Closed -$1.49M –
STZ icon
1440
Constellation Brands
STZ
$24B
– –
-2,440
Closed -$339K –
TACK icon
1441
Fairlead Tactical Sector ETF
TACK
$289M
– –
-13,059
Closed -$413K –
THD icon
1442
iShares MSCI Thailand ETF
THD
$378M
– –
-7,724
Closed -$558K –
TIMB icon
1443
TIM SA
TIMB
$8.62B
– –
-33,362
Closed -$715K –
TPL icon
1444
Texas Pacific Land
TPL
$18.8B
– –
-577
Closed -$253K –
TPR icon
1445
Tapestry
TPR
$26.1B
– –
-6,352
Closed -$930K –
UEVM icon
1446
VictoryShares Emerging Markets Value Momentum ETF
UEVM
$230M
– –
-18,428
Closed -$1.07M –
USVM icon
1447
VictoryShares US Small Mid Cap Value Momentum ETF
USVM
$1.8B
– –
-2,419
Closed -$266K –
VIAV icon
1448
Viavi Solutions
VIAV
$7B
– –
-6,340
Closed -$303K –
VSEC icon
1449
VSE Corp
VSEC
$4.85B
– –
-931
Closed -$213K –
WEAT icon
1450
Teucrium Wheat Fund
WEAT
$224M
– –
-28,012
Closed -$617K –
56 57
58
59 60

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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.