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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
XAR icon
1451
State Street SPDR S&P Aerospace & Defense ETF
XAR
$5.02B
– –
-837
Closed -$238K –
XJH icon
1452
iShares ESG Screened S&P Mid-Cap ETF
XJH
$412M
– –
-5,461
Closed -$285K –
XME icon
1453
State Street SPDR S&P Metals & Mining ETF
XME
$3.55B
– –
-6,950
Closed -$743K –
XRX icon
1454
PUT
Xerox
XRX
$143M
– –
-16,400
Closed -$1.3K –
XSD icon
1455
State Street SPDR S&P Semiconductor ETF
XSD
$2.24B
– –
-387
Closed -$241K –
XTEN icon
1456
BondBloxx Bloomberg Ten Year Target Duration US Treasury ETF
XTEN
$1.39B
– –
-20,687
Closed -$943K –
XTWO icon
1457
BondBloxx Bloomberg Two Year Target Duration US Treasury ETF
XTWO
$263M
– –
-18,773
Closed -$919K –
XTWY icon
1458
BondBloxx Bloomberg Twenty Year Target Duration US Treasury ETF
XTWY
$248M
– –
-27,223
Closed -$1.02M –
ZION icon
1459
Zions Bancorporation
ZION
$9.39B
– –
-3,756
Closed -$260K –
ZROZ icon
1460
PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund
ZROZ
$1.84B
– –
-36,272
Closed -$2.33M –
CTRI icon
1461
Centuri Holdings
CTRI
$2.06B
– –
-30,000
Closed -$907K –
GARP icon
1462
iShares MSCI USA Quality GARP ETF
GARP
$3.27B
– –
-6,121
Closed -$505K –
SILA
1463
DELISTED
Sila Realty Trust
SILA
– –
-13,824
Closed -$420K –
CGNG icon
1464
Capital Group New Geography Equity ETF
CGNG
$2.92B
– –
-6,995
Closed -$262K –
SEI icon
1465
Solaris Energy Infrastructure
SEI
$3.8B
– –
-11,213
Closed -$902K –
KDEC icon
1466
Innovator U.S. Small Cap Power Buffer ETF - December
KDEC
$69.1M
– –
-30,298
Closed -$860K –
NPKI icon
1467
NPK International
NPKI
$725M
– –
-60,000
Closed -$955K –
DMAX icon
1468
iShares Large Cap Max Buffer Dec ETF
DMAX
$131M
– –
-7,839
Closed -$214K –
KLRS icon
1469
Kalaris Therapeutics
KLRS
$57.6M
– –
-10,167
Closed -$41.4K –
ELFY icon
1470
ALPS Electrification Infrastructure ETF
ELFY
$173M
– –
-4,791
Closed -$215K –
NMAY icon
1471
Innovator Growth-100 Power Buffer ETF - May
NMAY
$56.7M
– –
-7,318
Closed -$216K –
GLXY icon
1472
Galaxy Digital Inc
GLXY
$2.62B
– –
-7,784
Closed -$213K –
MNTN icon
1473
MNTN Inc
MNTN
$399M
– –
-12,400
Closed -$114K –
JMTG icon
1474
JPMorgan Mortgage-Backed Securities ETF
JMTG
$6.81B
– –
-20,889
Closed -$1.06M –
DYNB icon
1475
Hartford Dynamic Bond ETF
DYNB
$63.2M
– –
-37,778
Closed -$1.48M –
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.