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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
-3.05%
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
$2.67B
AUM Growth
-$117M
Cap. Flow
+$7.73M
Cap. Flow %
0.29%
Top 10 Hldgs %
22.23%
Holding
1,324
New
121
Increased
493
Reduced
556
Closed
129

Top Buys

Rank Stock Value
1
XAUG icon
FT Vest US Equity Enhance & Moderate Buffer ETF August
XAUG
+$11M
2
ABBV icon
AbbVie
ABBV
+$5.08M
3
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$4.55M
4
MOAT icon
VanEck Morningstar Wide Moat ETF
MOAT
+$3.89M
5
ABT icon
Abbott
ABT
+$3.79M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$5.16M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.76M
3
AZO icon
AutoZone
AZO
+$3.74M
4
TSLA icon
Tesla
TSLA
+$3.66M
5
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.53M

Sector Composition

Rank Sector Weight
1 Technology 11.22%
2 Healthcare 4.66%
3 Consumer Discretionary 4.34%
4 Financials 4.17%
5 Industrials 3.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VOE icon
176
Vanguard Mid-Cap Value ETF
VOE
$23.7B
$3.12M 0.12%
23,811
-3,610
-13% -$500K
SMH icon
177
VanEck Semiconductor ETF
SMH
$67.6B
$3.04M 0.11%
20,961
+5,499
+36% +$833K
AVUV icon
178
Avantis US Small Cap Value ETF
AVUV
$29.7B
$3.02M 0.11%
38,745
-15,473
-29% -$1.24M
CMCSA icon
179
Comcast
CMCSA
$79.1B
$3M 0.11%
67,553
-2,686
-4% -$120K
ARKK icon
180
ARK Innovation ETF
ARKK
$5.89B
$2.98M 0.11%
75,181
-8,743
-10% -$385K
GILD icon
181
Gilead Sciences
GILD
$161B
$2.97M 0.11%
39,653
-1,029
-3% -$79.1K
AMD icon
182
Advanced Micro Devices
AMD
$851B
$2.97M 0.11%
28,890
+858
+3% +$93.1K
BSCN
183
DELISTED
Invesco BulletShares 2023 Corporate Bond ETF
BSCN
$2.97M 0.11%
139,844
-7,846
-5% -$166K
SBUX icon
184
Starbucks
SBUX
$118B
$2.96M 0.11%
32,475
-1,260
-4% -$124K
IYH icon
185
iShares US Healthcare ETF
IYH
$3.11B
$2.96M 0.11%
54,775
+2,855
+5% +$160K
ORCL icon
186
Oracle
ORCL
$331B
$2.95M 0.11%
27,807
+2,988
+12% +$346K
VBR icon
187
Vanguard Small-Cap Value ETF
VBR
$37.1B
$2.93M 0.11%
18,364
-1,263
-6% -$211K
GIS icon
188
General Mills
GIS
$19.2B
$2.92M 0.11%
45,698
-2,150
-4% -$152K
IWP icon
189
iShares Russell Mid-Cap Growth ETF
IWP
$20B
$2.92M 0.11%
32,005
+747
+2% +$71.4K
VOOG icon
190
Vanguard S&P 500 Growth ETF
VOOG
$25.4B
$2.91M 0.11%
70,836
-5,280
-7% -$225K
MAR icon
191
Marriott International
MAR
$98.7B
$2.91M 0.11%
14,802
-2,234
-13% -$444K
QCOM icon
192
Qualcomm
QCOM
$176B
$2.89M 0.11%
26,005
+2,113
+9% +$245K
BSCQ icon
193
Invesco BulletShares 2026 Corporate Bond ETF
BSCQ
$3.67B
$2.86M 0.11%
152,437
+3,409
+2% +$64.4K
IYW icon
194
iShares US Technology ETF
IYW
$23.7B
$2.86M 0.11%
27,217
-91
-0.3% -$9.9K
XLY icon
195
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$21.4B
$2.86M 0.11%
35,474
-426
-1% -$36K
GOF icon
196
Guggenheim Strategic Opportunities Fund
GOF
$2.22B
$2.86M 0.11%
193,049
+13,601
+8% +$215K
CLX icon
197
Clorox
CLX
$11.6B
$2.8M 0.1%
21,329
+211
+1% +$32.1K
WFC icon
198
Wells Fargo
WFC
$261B
$2.79M 0.1%
68,300
+149
+0.2% +$6.43K
HTGC icon
199
Hercules Capital
HTGC
$2.94B
$2.77M 0.1%
168,813
-2,791
-2% -$45.7K
SHYG icon
200
iShares 0-5 Year High Yield Corporate Bond ETF
SHYG
$7.57B
$2.77M 0.1%
67,512
+9,568
+17% +$395K
6 7
8
9 10

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Sigma Planning Corp's Q3 2023 Portfolio in Review

As of Q3 2023, Sigma Planning Corp held 1,324 positions worth $2.67B, down 4.2% from $2.78B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp's Q3 2023 filing shows 121 new, 493 increased, 556 reduced and 129 closed positions. Its largest new stake was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M. The largest sale was Apple, an estimated $5.16M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 12% a quarter earlier, followed by Healthcare and Consumer Discretionary.

  • Sigma Planning Corp's largest Q3 2023 buy was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M.
  • Sigma Planning Corp added most to AbbVie in Q3 2023, an estimated $5.08M increase.
  • Sigma Planning Corp's biggest Q3 2023 reduction was Apple, cutting an estimated $5.16M.
  • Sigma Planning Corp fully exited FT Vest Gold Strategy Target Income ETF in Q3 2023, selling an estimated $2.89M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.67B portfolio in Q3 2023.
  • Sigma Planning Corp opened 121 new positions and closed 129 in Q3 2023.
  • Sigma Planning Corp's portfolio value fell 4.2% quarter-over-quarter to $2.67B.

Based on Sigma Planning Corp's 13F filing for Q3 2023, filed 6 Nov 2023.