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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
INTC icon
176
Intel
INTC
$466B
$3.31M 0.13%
128,293
+3,340
+3% +$114K
TMO icon
177
Thermo Fisher Scientific
TMO
$211B
$3.29M 0.13%
6,477
+81
+1% +$45.3K
AMD icon
178
Advanced Micro Devices
AMD
$851B
$3.26M 0.12%
51,513
+5,364
+12% +$457K
SDVY icon
179
First Trust SMID Cap Rising Dividend Achievers ETF
SDVY
$11.4B
$3.26M 0.12%
141,080
+34,084
+32% +$867K
CDC icon
180
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
$744M
$3.26M 0.12%
54,908
-92,473
-63% -$6.14M
BND icon
181
Vanguard Total Bond Market
BND
$157B
$3.19M 0.12%
44,704
+3,994
+10% +$299K
IEF icon
182
iShares 7-10 Year Treasury Bond ETF
IEF
$47.1B
$3.17M 0.12%
32,968
+26,569
+415% +$2.7M
QUAL icon
183
iShares MSCI USA Quality Factor ETF
QUAL
$45.8B
$3.16M 0.12%
30,388
+3,411
+13% +$399K
FTEC icon
184
Fidelity MSCI Information Technology Index ETF
FTEC
$19.9B
$3.01M 0.11%
33,127
+1,024
+3% +$106K
CLX icon
185
Clorox
CLX
$11.6B
$3.01M 0.11%
23,442
-582
-2% -$84K
FXN icon
186
First Trust Energy AlphaDEX Fund
FXN
$398M
$2.97M 0.11%
190,325
-29,214
-13% -$477K
CMS icon
187
CMS Energy
CMS
$23.1B
$2.97M 0.11%
50,967
-4,624
-8% -$311K
PFF icon
188
iShares Preferred and Income Securities ETF
PFF
$13.2B
$2.94M 0.11%
92,840
-6,368
-6% -$213K
PDI icon
189
PIMCO Dynamic Income Fund
PDI
$7.4B
$2.94M 0.11%
151,430
-85,451
-36% -$1.8M
VNQ icon
190
Vanguard Real Estate ETF
VNQ
$39.9B
$2.93M 0.11%
36,547
-1,548
-4% -$145K
AVGO icon
191
Broadcom
AVGO
$1.82T
$2.93M 0.11%
65,960
-20
-0% -$1.02K
ETN icon
192
Eaton
ETN
$157B
$2.93M 0.11%
21,936
-923
-4% -$129K
NFLX icon
193
Netflix
NFLX
$292B
$2.85M 0.11%
121,020
+15,910
+15% +$353K
FDN icon
194
First Trust Dow Jones Internet Index Fund ETF
FDN
$4.86B
$2.84M 0.11%
22,518
-2,360
-9% -$329K
DLN icon
195
WisdomTree US LargeCap Dividend Fund
DLN
$6.24B
$2.83M 0.11%
51,270
+464
+0.9% +$28.1K
ABT icon
196
Abbott
ABT
$180B
$2.83M 0.11%
29,259
+984
+3% +$105K
USDU icon
197
WisdomTree Bloomberg US Dollar Bullish Fund
USDU
$472M
$2.8M 0.11%
94,099
+19,024
+25% +$546K
FXH icon
198
First Trust Health Care AlphaDEX Fund
FXH
$1.02B
$2.8M 0.11%
28,798
+8,961
+45% +$943K
EMLP icon
199
First Trust North American Energy Infrastructure Fund
EMLP
$4.18B
$2.78M 0.11%
111,722
-82,081
-42% -$2.23M
VOOG icon
200
Vanguard S&P 500 Growth ETF
VOOG
$25.4B
$2.77M 0.11%
79,578
-828
-1% -$32.3K
6 7
8
9 10

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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 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.