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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
+1.79%
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
$2.08B
AUM Growth
+$143M
Cap. Flow
+$123M
Cap. Flow %
5.9%
Top 10 Hldgs %
20.64%
Holding
1,098
New
109
Increased
483
Reduced
383
Closed
98

Top Buys

Rank Stock Value
1
VGT icon
Vanguard Information Technology ETF
VGT
+$11.9M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$8.9M
3
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$8.48M
4
XMLV icon
Invesco S&P MidCap Low Volatility ETF
XMLV
+$7.6M
5
IVE icon
iShares S&P 500 Value ETF
IVE
+$7.12M

Top Sells

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$9.05M
2
MBB icon
iShares MBS ETF
MBB
+$7.28M
3
VT icon
Vanguard Total World Stock ETF
VT
+$4.1M
4
ACWI icon
iShares MSCI ACWI ETF
ACWI
+$4.02M
5
FVC icon
First Trust Dorsey Wright Dynamic Focus 5 ETF
FVC
+$3.36M

Sector Composition

Rank Sector Weight
1 Technology 7.08%
2 Financials 4.39%
3 Consumer Discretionary 4.39%
4 Industrials 4.11%
5 Healthcare 3.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XLI icon
201
State Street Industrial Select Sector SPDR ETF
XLI
$33.9B
$2.25M 0.11%
28,980
-3,129
-10% -$240K
GDX icon
202
VanEck Gold Miners ETF
GDX
$23B
$2.24M 0.11%
83,708
-21,511
-20% -$602K
WFC icon
203
Wells Fargo
WFC
$261B
$2.21M 0.11%
43,814
-6,248
-12% -$294K
IWO icon
204
iShares Russell 2000 Growth ETF
IWO
$14.5B
$2.18M 0.1%
11,313
-592
-5% -$117K
IYY icon
205
iShares Dow Jones US ETF
IYY
$2.92B
$2.15M 0.1%
29,100
-486
-2% -$35.8K
ROKU icon
206
Roku
ROKU
$21.1B
$2.14M 0.1%
21,059
+5,466
+35% +$668K
SLQD icon
207
iShares 0-5 Year Investment Grade Corporate Bond ETF
SLQD
$2.36B
$2.13M 0.1%
41,577
+2,037
+5% +$104K
FXL icon
208
First Trust Technology AlphaDEX Fund
FXL
$2.47B
$2.11M 0.1%
32,391
+8,657
+36% +$584K
FXU icon
209
First Trust Utilities AlphaDEX Fund
FXU
$840M
$2.11M 0.1%
+71,126
New +$2.06M
ARCC icon
210
Ares Capital
ARCC
$13.5B
$2.1M 0.1%
112,672
+7,009
+7% +$130K
RSG icon
211
Republic Services
RSG
$66.7B
$2.1M 0.1%
24,249
+438
+2% +$38.5K
DAL icon
212
Delta Air Lines
DAL
$55.9B
$2.1M 0.1%
36,406
+2,100
+6% +$124K
FYC icon
213
First Trust Small Cap Growth AlphaDEX Fund
FYC
$1.24B
$2.08M 0.1%
47,429
+1,409
+3% +$64.1K
FTSM icon
214
First Trust Enhanced Short Maturity ETF
FTSM
$6.51B
$2.08M 0.1%
34,601
-18,488
-35% -$1.11M
RPG icon
215
Invesco S&P 500 Pure Growth ETF
RPG
$2.04B
$2.08M 0.1%
87,730
+12,645
+17% +$302K
CORP icon
216
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund
CORP
$1.57B
$2.07M 0.1%
18,882
+10,968
+139% +$1.19M
TRV icon
217
Travelers Companies
TRV
$80.8B
$2.07M 0.1%
13,914
+1,580
+13% +$235K
RTN
218
DELISTED
Raytheon Company
RTN
$2.06M 0.1%
10,486
-810
-7% -$150K
RTX icon
219
RTX Corp
RTX
$287B
$2.05M 0.1%
23,833
+886
+4% +$73.6K
GOF icon
220
Guggenheim Strategic Opportunities Fund
GOF
$2.22B
$2.05M 0.1%
105,824
+22,264
+27% +$447K
LOW icon
221
Lowe's Companies
LOW
$116B
$2.01M 0.1%
18,316
+189
+1% +$20K
HFRO
222
Highland Opportunities and Income Fund
HFRO
$400M
$2M 0.1%
149,489
-2,398
-2% -$32K
SRVR icon
223
Pacer Data & Infrastructure Real Estate ETF
SRVR
$379M
$1.99M 0.1%
+61,903
New +$1.92M
SECT icon
224
Main Sector Rotation ETF
SECT
$2.75B
$1.99M 0.1%
68,377
+23,751
+53% +$686K
XLE icon
225
State Street Energy Select Sector SPDR ETF
XLE
$39.5B
$1.99M 0.1%
67,202
-19,190
-22% -$580K
7 8
9
10 11

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WB
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BPS
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WWA
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Sigma Planning Corp's Q3 2019 Portfolio in Review

As of Q3 2019, Sigma Planning Corp held 1,098 positions worth $2.08B, up 7.3% from $1.94B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Sigma Planning Corp deployed $123M of net new capital in Q3 2019, opening 109 new positions and adding to 483 existing holdings. Its largest new stake was Chipotle Mexican Grill: 389,450 shares worth $6.55M.

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

On the sell side, the largest reduction was iShares 20+ Year Treasury Bond ETF, an estimated $9.05M trimmed.

  • Sigma Planning Corp's largest Q3 2019 buy was Chipotle Mexican Grill: 389,450 shares worth $6.55M.
  • Sigma Planning Corp added most to Vanguard Information Technology ETF in Q3 2019, an estimated $11.9M increase.
  • Sigma Planning Corp's biggest Q3 2019 reduction was iShares 20+ Year Treasury Bond ETF, cutting an estimated $9.05M.
  • Sigma Planning Corp fully exited Vanguard Total World Stock ETF in Q3 2019, selling an estimated $4.1M.
  • Sigma Planning Corp's ten largest holdings make up 21% of its $2.08B portfolio in Q3 2019.
  • Sigma Planning Corp opened 109 new positions and closed 98 in Q3 2019.
  • Sigma Planning Corp's portfolio value rose 7.3% quarter-over-quarter to $2.08B.

Based on Sigma Planning Corp's 13F filing for Q3 2019, filed 1 Nov 2019.