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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
+7.5%
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
$2.37B
AUM Growth
+$287M
Cap. Flow
+$149M
Cap. Flow %
6.27%
Top 10 Hldgs %
22.16%
Holding
1,143
New
143
Increased
513
Reduced
371
Closed
92

Top Buys

Rank Stock Value
1
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$7.45M
2
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$6.06M
3
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$6.01M
4
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$5.52M
5
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.67M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.41M
2
NEE icon
NextEra Energy
NEE
+$5.94M
3
CMG icon
Chipotle Mexican Grill
CMG
+$5.85M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$5.59M
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$4.89M

Sector Composition

Rank Sector Weight
1 Technology 7.36%
2 Financials 4.5%
3 Healthcare 4.01%
4 Industrials 3.83%
5 Consumer Discretionary 3.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
QTEC icon
126
First Trust NASDAQ-100 Technology Index Fund
QTEC
$4.4B
$4.19M 0.18%
41,871
+31,147
+290% +$2.9M
CASH icon
127
Pathward Financial
CASH
$1.81B
$4.18M 0.18%
114,402
-4,653
-4% -$158K
XLY icon
128
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$21.4B
$4.16M 0.18%
66,324
+1,700
+3% +$103K
VOOG icon
129
Vanguard S&P 500 Growth ETF
VOOG
$25.4B
$4.16M 0.18%
143,052
-14,826
-9% -$412K
PGX icon
130
Invesco Preferred ETF
PGX
$3.84B
$4.14M 0.17%
275,989
+156,225
+130% +$2.33M
FREL icon
131
Fidelity MSCI Real Estate Index ETF
FREL
$1.53B
$4.1M 0.17%
147,134
+24,313
+20% +$674K
HON icon
132
Honeywell
HON
$77.1B
$4.03M 0.17%
24,164
-2,205
-8% -$360K
SO icon
133
Southern Company
SO
$110B
$3.98M 0.17%
62,494
-9,828
-14% -$609K
IAU icon
134
iShares Gold Trust
IAU
$63B
$3.93M 0.17%
135,511
+46,900
+53% +$1.33M
IJK icon
135
iShares S&P Mid-Cap 400 Growth ETF
IJK
$10.8B
$3.9M 0.16%
65,472
-31,372
-32% -$1.8M
STPZ icon
136
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund
STPZ
$511M
$3.88M 0.16%
74,004
-590
-0.8% -$30.9K
VNQ icon
137
Vanguard Real Estate ETF
VNQ
$39.9B
$3.85M 0.16%
41,497
-9,559
-19% -$885K
PFF icon
138
iShares Preferred and Income Securities ETF
PFF
$13.2B
$3.8M 0.16%
100,999
-80,532
-44% -$3M
ISTB icon
139
iShares Core 1-5 Year USD Bond ETF
ISTB
$5.08B
$3.79M 0.16%
75,283
-2,712
-3% -$137K
ONEQ icon
140
Fidelity Nasdaq Composite Index ETF
ONEQ
$10.2B
$3.79M 0.16%
108,530
-5,100
-4% -$169K
TLT icon
141
iShares 20+ Year Treasury Bond ETF
TLT
$42.1B
$3.77M 0.16%
27,826
-40,158
-59% -$5.59M
FPE icon
142
First Trust Preferred Securities and Income ETF
FPE
$6.3B
$3.76M 0.16%
187,488
+28,105
+18% +$559K
VPU
143
Vanguard Utilities ETF
VPU
$8.83B
$3.75M 0.16%
26,210
+6,632
+34% +$933K
IYW icon
144
iShares US Technology ETF
IYW
$23.7B
$3.71M 0.16%
63,724
+28,484
+81% +$1.55M
MGV icon
145
Vanguard Mega Cap Value ETF
MGV
$13.2B
$3.63M 0.15%
41,604
+1,597
+4% +$134K
IYF icon
146
iShares US Financials ETF
IYF
$4.39B
$3.6M 0.15%
52,298
+27,756
+113% +$1.84M
CRM icon
147
Salesforce
CRM
$134B
$3.58M 0.15%
22,040
+40
+0.2% +$6.27K
BMY icon
148
Bristol-Myers Squibb
BMY
$127B
$3.57M 0.15%
55,609
+18,026
+48% +$1.03M
VOE icon
149
Vanguard Mid-Cap Value ETF
VOE
$23.7B
$3.54M 0.15%
29,704
-1,488
-5% -$171K
NEAR icon
150
iShares Short Maturity Bond ETF
NEAR
$4.8B
$3.53M 0.15%
70,328
-2,911
-4% -$146K
4 5
6
7 8

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WB
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SCM
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BPS
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VPC
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ACM
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WWA
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Sigma Planning Corp's Q4 2019 Portfolio in Review

As of Q4 2019, Sigma Planning Corp held 1,143 positions worth $2.37B, up 14% from $2.08B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp deployed $149M of net new capital in Q4 2019, opening 143 new positions and adding to 513 existing holdings. Its largest new stake was iShares US Transportation ETF: 66,896 shares worth $3.27M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, up from 7.1% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was iShares Core S&P 500 ETF, an estimated $6.41M trimmed.

  • Sigma Planning Corp's largest Q4 2019 buy was iShares US Transportation ETF: 66,896 shares worth $3.27M.
  • Sigma Planning Corp added most to iShares Core Dividend Growth ETF in Q4 2019, an estimated $7.45M increase.
  • Sigma Planning Corp's biggest Q4 2019 reduction was iShares Core S&P 500 ETF, cutting an estimated $6.41M.
  • Sigma Planning Corp fully exited Avalara, Inc. in Q4 2019, selling an estimated $4.36M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.37B portfolio in Q4 2019.
  • Sigma Planning Corp opened 143 new positions and closed 92 in Q4 2019.
  • Sigma Planning Corp's portfolio value rose 14% quarter-over-quarter to $2.37B.

Based on Sigma Planning Corp's 13F filing for Q4 2019, filed 3 Feb 2020.