Skip to main content

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Oct 28, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
1,353
−35 vs. Q2 2021
Portfolio value
$3.29B
−$44.3M (−1.3%) vs. Q2 2021
Filed
Oct 28, 2021
SEC
Holdings of Sigma Planning Corp in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
SPHSuburban Propane Partners LPUNIT LTD PARTN23,593$362.0K<0.1%−1,325−5.3%ReducedHistory
ZZillow Group, Inc.CL C CAP STK4,124$363.0K<0.1%+2,284+124.1%AddedHistory
HIGHartford Insurance Group, Inc.Stock5,182$364.0K<0.1%−1,975−27.6%ReducedHistory
QRVOQorvo, Inc.Stock2,180$364.0K<0.1%+272+14.3%AddedHistory
Vanguard Scottsdale FDS92206C706INTER TERM TREAS5,385$364.0K<0.1%+372+7.4%Added–
ALLEAllegion plcORD SHS2,758$365.0K<0.1%−131−4.5%ReducedHistory
PDPagerDuty, Inc.COM8,819$365.0K<0.1%+1,514+20.7%AddedHistory
Abrdn ETFs003261104BBRG ALL COMD K113,023$366.0K<0.1%−614−4.5%Reduced–
STRLSterling Infrastructure, Inc.COM16,250$368.0K<0.1%−1,100−6.3%ReducedHistory
Invesco Exchange Traded FD T46137V746LARG CAP GRO ETF4,977$368.0K<0.1%+10.0%Added–
First Tr Exchange-Traded FD33734X176TECH ALPHADEX2,995$368.0K<0.1%+294+10.9%Added–
First Tr Exchange Traded FD33738R878DORSEY WRIGHT10,495$369.0K<0.1%+281+2.8%Added–
WRBBerkley W R CorpCOM5,059$370.0K<0.1%+5,059NewHistory
BSCLBILI Social International, Inc.BULSHS 2021 CB17,522$370.0K<0.1%−887−4.8%ReducedHistory
TXTernium S.A.SPONSORED ADS8,765$371.0K<0.1%+1,383+18.7%AddedHistory
UTFCohen & Steers Infrastructure Fund IncCOM13,678$371.0K<0.1%+2,716+24.8%AddedHistory
State Street SPDR S&P 400 Mid Cap Value ETF78464A839ETF5,615$372.0K<0.1%−899−13.8%Reduced–
CRCrane CoCOM3,927$372.0K<0.1%+193+5.2%AddedHistory
PBCTPeople's United Financial, Inc.COM21,304$372.0K<0.1%+3,345+18.6%AddedHistory
Global X FDS37954Y442CLOUD COMPUTNG12,734$373.0K<0.1%−3,150−19.8%Reduced–
MFCManulife Financial CorpCOM19,387$373.0K<0.1%+98+0.5%AddedHistory
RGRSturm Ruger & Co IncStock5,087$375.0K<0.1%+801+18.7%AddedHistory
AMAntero Midstream CorpStock36,026$375.0K<0.1%+2,151+6.3%AddedHistory
VMIValmont Industries IncCOM1,602$377.0K<0.1%+106+7.1%AddedHistory
iShares Tr464287374NORTH AMERN NAT12,846$377.0K<0.1%+12,846New–
ENPHEnphase Energy, Inc.Stock2,520$378.0K<0.1%+121+5.0%AddedHistory
KMXCarMax IncCOM2,951$378.0K<0.1%+2,951NewHistory
SRESempraStock2,993$379.0K<0.1%−327−9.8%ReducedHistory
USOUnited States Oil Fund, LPUNITS7,246$381.0K<0.1%−1,859−20.4%ReducedHistory
iShares Tr464287549EXPND TEC SC ETF954$385.0K<0.1%+32+3.5%Added–
WYNNWynn Resorts LtdCOM4,551$386.0K<0.1%−3,163−41.0%ReducedHistory
UUnity Software Inc.COM3,057$386.0K<0.1%+3,057NewHistory
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF1,344$388.0K<0.1%+1+0.1%Added–
CTASCintas CorpStock1,023$389.0K<0.1%+79+8.4%AddedHistory
BTIBritish American Tobacco p.l.c.SPONSORED ADR11,031$389.0K<0.1%+890+8.8%AddedHistory
LEGLeggett & Platt IncStock8,695$390.0K<0.1%+713+8.9%AddedHistory
CSQCalamos Strategic Total Return FundCOM SH BEN INT21,981$390.0K<0.1%−1,422−6.1%ReducedHistory
Nuveen Diversified Divid & I6706EP105COM37,598$390.0K<0.1%−1,167−3.0%Reduced–
First Tr Exchange-Traded FD33733A201DOW 30 EQL WGT13,056$391.0K<0.1%−712−5.2%Reduced–
PXDPioneer Natural Resources CoCOM2,347$391.0K<0.1%+336+16.7%AddedHistory
Dimensional ETF Trust25434V401US EQUI MARK ETF8,416$397.0K<0.1%00.0%Unchanged–
EVVEaton Vance Ltd Duration Income FundCOM30,204$398.0K<0.1%+6,946+29.9%AddedHistory
CUZCousins Properties IncCOM NEW10,682$398.0K<0.1%00.0%UnchangedHistory
LITSLite Strategy, Inc.COM NEW144,350$398.0K<0.1%+59,900+70.9%AddedHistory
MUABlackRock Muniassets Fund, Inc.COM26,286$399.0K<0.1%+634+2.5%AddedHistory
SYNASYNAPTICS IncStock2,227$400.0K<0.1%+2,227NewHistory
Invesco Exchange Traded FD T46137V498S&P SMLCP MOMENT7,507$400.0K<0.1%−3,666−32.8%Reduced–
DDOGDatadog, Inc.CL A COM2,840$401.0K<0.1%+25+0.9%AddedHistory
Flexshares Tr33939L662HIG YLD VL ETF8,075$402.0K<0.1%+660+8.9%Added–
Innovator ETFs Tr45783Y509GROWTH ACCELE14,206$402.0K<0.1%−35−0.2%Reduced–
BZUNBaozun Inc.SPONSORED ADR23,007$403.0K<0.1%−7,421−24.4%ReducedHistory
INTUIntuit Inc.Stock752$406.0K<0.1%+102+15.7%AddedHistory
QQQXNuveen NASDAQ 100 Dynamic Overwrite FundCOM SHS14,306$406.0K<0.1%+3,353+30.6%AddedHistory
TSNTyson Foods, Inc.Stock5,156$407.0K<0.1%−1,900−26.9%ReducedHistory
Advisorshares Tr00768Y438Q DYNAMIC GROWTH14,550$407.0K<0.1%+100+0.7%Added–
CBOECboe Global Markets, Inc.COM3,282$407.0K<0.1%+3,282NewHistory
RHRHCOM611$407.0K<0.1%+135+28.4%AddedHistory
EIGREiger BioPharmaceuticals, Inc.COM61,150$408.0K<0.1%+45,200+283.4%AddedHistory
BHKBlackRock Core Bond TrustSHS BEN INT24,690$409.0K<0.1%+695+2.9%AddedHistory
ZENZendesk, Inc.COM3,511$409.0K<0.1%−4,071−53.7%ReducedHistory
BRBroadridge Financial Solutions, Inc.Stock2,492$415.0K<0.1%+130+5.5%AddedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP9,121$416.0K<0.1%+555+6.5%AddedHistory
iShares Tr46435G268RUSEL 2500 ETF6,507$418.0K<0.1%+5+0.1%Added–
PEGPublic Service Enterprise Group IncCOM6,876$419.0K<0.1%−796−10.4%ReducedHistory
ATOAtmos Energy CorpCOM4,759$420.0K<0.1%+545+12.9%AddedHistory
First Tr Exchange-Traded FD337344105NASDAQ-100 SEL3,775$420.0K<0.1%+802+27.0%Added–
CHGGChegg, IncCOM6,182$420.0K<0.1%+241+4.1%AddedHistory
LINLinde PLCSHS1,432$420.0K<0.1%−622−30.3%ReducedHistory
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT7,509$421.0K<0.1%−258−3.3%ReducedHistory
FSRFisker Inc.CL A COM STK28,741$421.0K<0.1%+28,741NewHistory
ECPGEncore Capital Group IncCOM8,562$422.0K<0.1%+409+5.0%AddedHistory
PSAPublic StorageCOM1,424$423.0K<0.1%+231+19.4%AddedHistory
Amplify ETF Tr032108409CWP ENHANCED DIV12,144$424.0K<0.1%+2,465+25.5%Added–
ALLYAlly Financial Inc.Stock8,349$426.0K<0.1%−227−2.6%ReducedHistory
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF8,491$426.0K<0.1%+709+9.1%Added–
iShares Tr464287325GLOB HLTHCRE ETF5,086$426.0K<0.1%+504+11.0%Added–
Vanguard Industrials ETF92204A603ETF2,272$427.0K<0.1%−256−10.1%Reduced–
WisdomTree Tr97717W844GLOB EX US QU FD10,557$427.0K<0.1%+1,164+12.4%Added–
DSLDoubleLine Income Solutions FundCOM24,085$428.0K<0.1%−6,625−21.6%ReducedHistory
ICLRIcon PLCCOM1,638$429.0K<0.1%−17−1.0%ReducedHistory
First Tr Exchng Traded FD VI33740F854FT VEST U.S.12,618$430.0K<0.1%+12,618New–
CVNACarvana Co.CL A1,433$432.0K<0.1%+755+111.4%AddedHistory
CALYCallaway Golf CoCOM15,663$433.0K<0.1%+517+3.4%AddedHistory
PLUGPlug Power IncStock17,012$434.0K<0.1%−70−0.4%ReducedHistory
SKINSkinHealth Systems Inc.COM CL A16,700$434.0K<0.1%+16,700NewHistory
TNDMTandem Diabetes Care IncCOM NEW3,664$437.0K<0.1%−243−6.2%ReducedHistory
URIUnited Rentals, Inc.COM1,245$437.0K<0.1%+18+1.5%AddedHistory
BLEBlackRock Municipal Income Trust IICOM28,935$438.0K<0.1%+125+0.4%AddedHistory
iShares Tr464288703MRNING SM CP ETF7,721$439.0K<0.1%+625+8.8%Added–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF8,731$441.0K<0.1%−1,252−12.5%Reduced–
iShares Inc46434G764MSCI EMRG CHN7,266$441.0K<0.1%+7,266New–
VICIVici Properties Inc.COM15,586$443.0K<0.1%+15,586NewHistory
RCLRoyal Caribbean Cruises LtdCOM4,993$444.0K<0.1%−2,126−29.9%ReducedHistory
Amplify Blockchain Technology ETF032108607ETF9,998$446.0K<0.1%−3,776−27.4%Reduced–
MKCMcCormick & Co IncStock5,503$446.0K<0.1%−1,978−26.4%ReducedHistory
Invesco Exchange Traded FD T46137V837DORS WRI MOM ETF4,987$446.0K<0.1%−181−3.5%Reduced–
IDCCInterDigital, Inc.COM6,601$448.0K<0.1%−321−4.6%ReducedHistory
EDITEditas Medicine, Inc.COM11,005$452.0K<0.1%+3,944+55.9%AddedHistory
SCHWSchwab Charles CorpStock6,223$453.0K<0.1%−1,338−17.7%ReducedHistory
CHDChurch & Dwight Co IncCOM5,491$453.0K<0.1%−452−7.6%ReducedHistory

Options (18)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Sigma Planning Corp in Q3 2021
SecurityClassPutsCalls
AMZNAmazon Com IncStock–$20.0M
Invesco QQQ Trust Series I46090E103ETF$5.12M–
VanEck ETF Trust92189H607OIL SERVICES ETF–$4.73M
SPYSPDR S&P 500 ETF TrustETF$1.54M$901.0K
XUnited States Steel CorpCOM–$879.0K
ROKURoku, IncCOM CL A–$783.0K
NFLXNetflix IncStock–$610.0K
GOOGAlphabet Inc.Stock–$533.0K
AAPLApple Inc.Stock–$354.0K
BABoeing CoStock–$308.0K
MSFTMicrosoft CorpStock–$282.0K
FDXFedEx CorpStock–$263.0K
MRNAModerna, Inc.Stock$231.0K–
SRNESorrento Therapeutics, Inc.COM NEW–$209.0K
VHCVirnetX Holding CorpCOM–$103.0K
AGENAgenus IncCOM NEW–$61.0K
NOKNokia CorpSPONSORED ADR–$54.0K
SOSSOS LtdSPNSORD ADS NEW–$50.0K

Sold out since Q2 2021 (157)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 157 by value last quarter.

Positions of Sigma Planning Corp sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL95,116$7.34M0.2%–
TPRTapestry, Inc.COM143,583$6.24M0.2%History
Innovator U.S. Equity Buffer ETF - October45782C771ETF82,676$2.67M0.1%–
iShares Tr464287838U.S. BAS MTL ETF17,403$2.27M0.1%–
DXCDXC Technology CoStock48,152$1.88M0.1%History
ARLOArlo Technologies, Inc.COM246,200$1.67M0.1%History
WORKSlack Technologies, Inc.COM CL A29,956$1.33M<0.1%History
WisdomTree Tr97717X578EM EX ST-OWNED30,235$1.27M<0.1%–
WKHSWorkhorse Group Inc.COM NEW66,193$1.10M<0.1%History
APPSDigital Turbine, Inc.COM NEW14,266$1.08M<0.1%History
Kirkland Lake Gold Ltd49741E100COM25,703$990.0K<0.1%–
EXKEndeavour Silver CorpCOM155,115$949.0K<0.1%History
UPWKUpwork, IncCOM15,675$914.0K<0.1%History
WPMWheaton Precious Metals Corp.COM19,801$873.0K<0.1%History
MUXMcEwen Inc.COM597,288$824.0K<0.1%History
BIIBBiogen Inc.COM2,365$819.0K<0.1%History
DBXDropbox, Inc.CL A25,092$761.0K<0.1%History
ABBNYABB LtdSPONSORED ADR22,296$758.0K<0.1%History
IQVIQVIA Holdings Inc.Stock2,981$722.0K<0.1%History
Sandstorm Gold Ltd Com New80013R206Stock90,263$712.0K<0.1%–
Legg Mason ETF Invt Tr52468L810WESTN ASET TTL25,540$697.0K<0.1%–
Invesco Exch Traded FD Tr II46138E800CHINA TECHNLGY7,968$671.0K<0.1%–
BSETBassett Furniture Industries IncCOM25,280$616.0K<0.1%History
KGCKinross Gold CorpCOM93,865$596.0K<0.1%History
Alpha Architect ETF Tr02072L862MERLYN AI SECTOR20,770$579.0K<0.1%–
STMPStamps.com IncCOM NEW2,828$566.0K<0.1%History
MANUManchester United plcORD CL A37,049$563.0K<0.1%History
SPDR Series Trust78464A714ST STR SP RETAIL5,612$546.0K<0.1%–
TCOMTrip.com Group LtdADS15,302$543.0K<0.1%History
BMBLBumble Inc.COM CL A9,309$536.0K<0.1%History
MMYTMakeMyTrip LtdStock17,818$535.0K<0.1%History
Hoegh LNG Partners LPY3262R100COM UNIT LTD30,265$532.0K<0.1%–
BDRYAmplify Commodity TrustBREAKWAVE DRY18,086$531.0K<0.1%History
GATOGatos Silver, Inc.COM29,619$518.0K<0.1%History
New Gold Inc Cda644535106COM285,749$517.0K<0.1%–
FSLRFirst Solar, Inc.Stock5,584$505.0K<0.1%History
Alps Clean Energy ETF00162Q460ETF6,544$496.0K<0.1%–
IBNIcici Bank LtdADR28,608$489.0K<0.1%History
SNBRQSleep Number CorpCOM4,437$488.0K<0.1%History
Invesco Exch Traded FD Tr II46138G672S&P MDCP 400 REV5,370$475.0K<0.1%–
SPDR Series Trust78468R739ST NUVE TERM ETF9,484$470.0K<0.1%–
TLKPerusahaan Perseroan Persero PT Telekomunikasi Indonesia TBKSPONSORED ADR21,507$466.0K<0.1%History
IRBTiRobot CorpCOM4,884$456.0K<0.1%History
Global X FDS37954Y434GENOMIC BIOTECH18,296$455.0K<0.1%–
STLDSteel Dynamics IncCOM7,263$433.0K<0.1%History
GENGen Digital Inc.Stock15,743$429.0K<0.1%History
AEVAAeva Technologies, Inc.COM38,770$410.0K<0.1%History
Liberty Media Corp531229409COM A SIRIUSXM8,736$407.0K<0.1%–
SEDGSolaredge Technologies, Inc.COM1,463$404.0K<0.1%History
Churchill Capital Corp IV171439102CL A13,844$399.0K<0.1%–
FUTUFutu Holdings LtdSPON ADS CL A2,162$387.0K<0.1%History
JWNNordstrom IncStock10,078$369.0K<0.1%History
iShares Inc464286400MSCI BRAZIL ETF8,770$356.0K<0.1%–
TRTNTriton International LtdCL A6,764$354.0K<0.1%History
TWOU2U, LLCCOM8,304$346.0K<0.1%History
TPICQTpi Composites, IncCOM7,017$340.0K<0.1%History
EOGEOG Resources IncStock4,032$336.0K<0.1%History
PGRProgressive CorpStock3,344$328.0K<0.1%History
OGNOrganon & Co.Stock10,167$308.0K<0.1%History
VUZIVuzix CorpCOM NEW16,795$308.0K<0.1%History
JEFJefferies Financial Group Inc.COM8,961$306.0K<0.1%History
HOGHarley-Davidson, Inc.COM6,529$299.0K<0.1%History
REIRing Energy, Inc.COM100,000$298.0K<0.1%History
ESGREnstar Group LTDSHS1,245$297.0K<0.1%History
YAlleghany CorpCOM442$295.0K<0.1%History
Innovator ETFs Trust45782C524INTRNL DEV JAN10,812$289.0K<0.1%–
Dte Energy Co233331842UNIT 11/01/2022S5,733$283.0K<0.1%–
BRSLBrightstar Lottery PLCSHS USD11,557$277.0K<0.1%History
BEBloom Energy CorpCOM CL A10,246$275.0K<0.1%History
NWLNewell Brands Inc.Stock9,985$274.0K<0.1%History
First Tr Exchng Traded FD VI33740F748FT VEST US EQT7,521$272.0K<0.1%–
FWONALiberty Media CorpCOM SER A FRMLA6,371$272.0K<0.1%History
VanEck Vectors ETF Tr92189F205STEEL ETF4,356$270.0K<0.1%–
CFCF Industries Holdings, Inc.COM5,211$268.0K<0.1%History
LVSLas Vegas Sands CorpCOM5,065$267.0K<0.1%History
FLNAFilana Therapeutics, Inc.COM3,123$267.0K<0.1%History
AVOMission Produce, Inc.COM12,790$265.0K<0.1%History
MXIMMaxim Integrated Products IncCOM2,513$265.0K<0.1%History
CRUSCirrus Logic, Inc.Stock3,090$263.0K<0.1%History
JAZZJazz Pharmaceuticals plcSHS USD1,478$263.0K<0.1%History
TRUPTrupanion, Inc.COM2,288$263.0K<0.1%History
COHRCoherent Corp.COM3,602$261.0K<0.1%History
Abraxas Pete Corp003830304COM NEW80,490$260.0K<0.1%–
iShares Inc46434G848MSCI GBL ETF NEW5,726$259.0K<0.1%–
PGNYProgyny, Inc.COM4,371$258.0K<0.1%History
Farfetch Ltd30744W107ORD SH CL A5,095$257.0K<0.1%–
BBIGVinco Ventures, Inc.COM64,370$254.0K<0.1%History
CNCCentene CorpStock3,461$252.0K<0.1%History
iShares Tr464287184CHINA LG-CAP ETF5,449$252.0K<0.1%–
Invesco Exchange Traded FD T46137V373S&P500 EQL STP1,560$251.0K<0.1%–
Flexshares Tr33939L407MORNSTAR UPSTR6,338$243.0K<0.1%–
iShares Tr464288430ASIA 50 ETF2,642$242.0K<0.1%–
CBRLCracker Barrel Old Country Store, IncCOM1,598$237.0K<0.1%History
PALLabrdn Palladium ETF TrustPHYSICAL PALLADM905$235.0K<0.1%History
Cornerstone Building Brands, Inc.21925D109COM12,870$234.0K<0.1%–
Cambria ETF Tr132061201SHSHLD YIELD ETF3,614$231.0K<0.1%–
COUPCoupa Software IncCOM870$228.0K<0.1%History
TTCToro CoCOM2,067$227.0K<0.1%History
Innovator ETFs Trust45782C516EMRGNG MKT JAN7,234$225.0K<0.1%–
QFINQfin Holdings, Inc.AMERICAN DEP5,350$224.0K<0.1%History