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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DUK icon
126
Duke Energy
DUK
$102B
$4.56M 0.17%
49,013
+2,371
+5% +$255K
STPZ icon
127
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund
STPZ
$511M
$4.51M 0.17%
91,215
-19,233
-17% -$994K
MINT icon
128
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17B
$4.51M 0.17%
45,574
-9,711
-18% -$963K
TDIV icon
129
First Trust NASDAQ Technology Dividend Index Fund
TDIV
$4.06B
$4.49M 0.17%
102,778
+18,149
+21% +$923K
DE icon
130
Deere & Co
DE
$170B
$4.49M 0.17%
13,445
+695
+5% +$238K
ACWV icon
131
iShares MSCI Global Min Vol Factor ETF
ACWV
$3.26B
$4.43M 0.17%
50,018
+453
+0.9% +$43.3K
SLQD icon
132
iShares 0-5 Year Investment Grade Corporate Bond ETF
SLQD
$2.36B
$4.43M 0.17%
93,393
-721
-0.8% -$34.9K
BNDX icon
133
Vanguard Total International Bond ETF
BNDX
$82B
$4.41M 0.17%
92,305
-4,718
-5% -$234K
NOBL icon
134
ProShares S&P 500 Dividend Aristocrats ETF
NOBL
$11.6B
$4.3M 0.16%
107,612
+15,440
+17% +$682K
SBUX icon
135
Starbucks
SBUX
$118B
$4.3M 0.16%
51,057
-122
-0.2% -$10.4K
DMAR icon
136
FT Vest US Equity Deep Buffer ETF March
DMAR
$450M
$4.28M 0.16%
145,965
+15,702
+12% +$479K
FDL icon
137
First Trust Morningstar Dividend Leaders Index Fund
FDL
$7.72B
$4.25M 0.16%
132,418
+57,630
+77% +$2.06M
SDY icon
138
State Street SPDR S&P Dividend ETF
SDY
$21.9B
$4.24M 0.16%
37,991
+2,469
+7% +$304K
BSCP
139
DELISTED
Invesco BulletShares 2025 Corporate Bond ETF
BSCP
$4.21M 0.16%
210,913
+6,353
+3% +$130K
IJT icon
140
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.22B
$4.19M 0.16%
41,176
+75
+0.2% +$8.42K
RWJ icon
141
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.03B
$4.11M 0.16%
128,205
+17,955
+16% +$650K
TGT icon
142
Target
TGT
$62.1B
$4.08M 0.16%
27,508
+118
+0.4% +$18.9K
IXC icon
143
iShares Global Energy ETF
IXC
$2.71B
$4.08M 0.16%
122,259
+479
+0.4% +$16.8K
GIS icon
144
General Mills
GIS
$19.2B
$4.05M 0.15%
52,879
+784
+2% +$59.8K
MMM icon
145
3M
MMM
$89B
$3.95M 0.15%
42,789
-1,971
-4% -$216K
LOW icon
146
Lowe's Companies
LOW
$116B
$3.94M 0.15%
20,949
-548
-3% -$107K
QCOM icon
147
Qualcomm
QCOM
$176B
$3.89M 0.15%
34,436
-1,114
-3% -$153K
FPE icon
148
First Trust Preferred Securities and Income ETF
FPE
$6.3B
$3.88M 0.15%
232,050
+7,873
+4% +$139K
VBR icon
149
Vanguard Small-Cap Value ETF
VBR
$37.1B
$3.87M 0.15%
26,995
-909
-3% -$144K
ONEQ icon
150
Fidelity Nasdaq Composite Index ETF
ONEQ
$10.2B
$3.87M 0.15%
93,255
+4,063
+5% +$189K
4 5
6
7 8

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SL
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WB
WesBanco Bank Wheeling, West Virginia $3.61B AUM 24.09% 1-Year Est. Return
SCM
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BPS
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VPC
Vestal Point Capital New York $3.58B AUM 189.12% 1-Year Est. Return
ACM
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WWA
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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.