Skip to main content

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q1 2022

Holdings as of Mar 31, 2022, filed Apr 20, 2022. Long positions only; changes compare share counts with Q4 2021.

Institution overview
Positions
1,346
−15 vs. Q4 2021
Portfolio value
$3.33B
−$236.5M (−6.6%) vs. Q4 2021
Filed
Apr 20, 2022
SEC
Holdings of Sigma Planning Corp in Q1 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
AAPLApple Inc.Stock1,016,903$177.6M5.3%+12,329+1.2%AddedHistory
iShares Core S&P 500 ETF464287200ETF331,788$150.5M4.5%+4,637+1.4%Added–
MSFTMicrosoft CorpStock212,881$65.6M2.0%−460−0.2%ReducedHistory
AMZNAmazon Com IncStock19,470$63.5M1.9%+156+0.8%AddedHistory
iShares Core Dividend Growth ETF46434V621ETF1,054,945$56.3M1.7%+222,250+26.7%Added–
SPYSPDR S&P 500 ETF TrustETF117,844$53.2M1.6%−13,579−10.3%ReducedHistory
Invesco QQQ Trust Series I46090E103ETF136,944$49.6M1.5%−27,426−16.7%Reduced–
GLDSPDR Gold TrustETF187,360$33.8M1.0%+67,201+55.9%AddedHistory
NVDANVIDIA CorpStock124,007$33.8M1.0%+5,414+4.6%AddedHistory
iShares Core U.S. Aggregate Bond ETF464287226ETF291,272$31.2M0.9%−44,516−13.3%Reduced–
First Trust Rising Dividend Achievers ETF33738R506ETF629,904$30.9M0.9%+157,202+33.3%Added–
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF241,425$29.2M0.9%−71,284−22.8%Reduced–
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT179,218$28.3M0.8%+56,038+45.5%Added–
iShares Tips Bond ETF464287176ETF224,471$28.0M0.8%+56,803+33.9%Added–
iShares Core S&P Small Cap ETF464287804ETF256,677$27.7M0.8%−107,433−29.5%Reduced–
First Tr Exchange-Traded FD33734H106SHS621,753$26.3M0.8%+346,776+126.1%Added–
iShares Core S&P Mid-Cap ETF464287507ETF95,635$25.7M0.8%−4,490−4.5%Reduced–
Vanguard S&P 500 ETF922908363ETF61,622$25.6M0.8%+522+0.9%Added–
GOOGLAlphabet Inc.Stock9,172$25.5M0.8%+622+7.3%AddedHistory
iShares S&P 500 Growth ETF464287309ETF330,765$25.3M0.8%−155,831−32.0%Reduced–
GOOGAlphabet Inc.Stock8,401$23.5M0.7%+670+8.7%AddedHistory
Schwab US Dividend Equity ETF808524797ETF289,504$22.8M0.7%+123,464+74.4%Added–
iShares MSCI USA Min Vol Factor ETF46429B697ETF290,588$22.5M0.7%+6,645+2.3%Added–
iShares Tr464287150CORE S&P TTL STK206,001$20.8M0.6%−2,270−1.1%Reduced–
iShares Tr4642874571 3 YR TREAS BD248,977$20.8M0.6%−20,182−7.5%Reduced–
ABBVAbbVie Inc.Stock125,445$20.3M0.6%−3,579−2.8%ReducedHistory
JNJJohnson & JohnsonStock110,029$19.5M0.6%−1,335−1.2%ReducedHistory
TSLATesla, Inc.Stock17,725$19.1M0.6%+348+2.0%AddedHistory
iShares S&P 500 Value ETF464287408ETF108,955$17.0M0.5%−66,883−38.0%Reduced–
State Street Energy Select Sector SPDR ETF81369Y506ETF204,063$15.6M0.5%+54,919+36.8%Added–
DISWalt Disney CoStock107,624$14.8M0.4%+339+0.3%AddedHistory
JPMJPMorgan Chase & CoStock106,576$14.5M0.4%−21,860−17.0%ReducedHistory
HDHome Depot, Inc.Stock48,413$14.5M0.4%−2,366−4.7%ReducedHistory
J P Morgan Exchange Traded F46641Q753US VALUE FACTR389,148$14.4M0.4%+45,503+13.2%Added–
iShares Tr464288414NATIONAL MUN ETF129,821$14.2M0.4%+6,047+4.9%Added–
VVisa Inc.Stock63,555$14.1M0.4%−1,231−1.9%ReducedHistory
METAMeta Platforms, Inc.Stock63,040$14.0M0.4%+3,498+5.9%AddedHistory
BRK.BBerkshire Hathaway IncStock39,386$13.9M0.4%+3,116+8.6%AddedHistory
State Street Financial Select Sector SPDR ETF81369Y605ETF348,697$13.4M0.4%+42,680+13.9%Added–
iShares Tr46429B655FLTG RATE NT ETF258,612$13.1M0.4%+163,807+172.8%Added–
UNHUnitedHealth Group IncStock25,575$13.0M0.4%−1,249−4.7%ReducedHistory
VZVerizon Communications IncStock253,960$12.9M0.4%+5,284+2.1%AddedHistory
First Tr Exchange Trad FD VI33739H101FST TR GLB FD449,697$12.8M0.4%+349,961+350.9%Added–
State Street Technology Select Sector SPDR ETF81369Y803ETF80,253$12.8M0.4%−33,821−29.6%Reduced–
Schwab U.S. Large-Cap Growth ETF808524300ETF167,359$12.5M0.4%−158,169−48.6%ReducedConverted for a 2-for-1 split–
BABoeing CoStock65,146$12.5M0.4%−2,173−3.2%ReducedHistory
iShares Tr46432F859CORE 1 5 YR USD255,264$12.4M0.4%+34,616+15.7%Added–
NEENextera Energy IncStock143,272$12.1M0.4%+2,439+1.7%AddedHistory
iShares MSCI USA Momentum Factor ETF46432F396ETF70,836$11.9M0.4%−150,925−68.1%Reduced–
PFEPfizer IncStock227,458$11.8M0.4%−27,738−10.9%ReducedHistory
iShares U.S. Medical Devices ETF464288810ETF191,972$11.7M0.4%−1,453−0.8%Reduced–
Vanguard Morningstar Mid-Cap ETF922908629ETF49,058$11.7M0.4%+2,195+4.7%Added–
PGProcter & Gamble CoStock75,511$11.5M0.3%−10,920−12.6%ReducedHistory
iShares Core MSCI Eafe ETF46432F842ETF164,669$11.4M0.3%−99,546−37.7%Reduced–
iShares Tr46432F388MSCI USA VALUE108,909$11.4M0.3%−4,232−3.7%Reduced–
Vanguard Morningstar Value ETF922908744ETF76,812$11.4M0.3%+5,568+7.8%Added–
COSTCostco Wholesale CorpStock19,411$11.2M0.3%−1,576−7.5%ReducedHistory
First Tr Exchange-Traded FD33733E104CAP STRENGTH ETF139,414$10.9M0.3%+819+0.6%Added–
iShares Core MSCI Emerging Markets ETF46434G103ETF193,371$10.7M0.3%−76,437−28.3%Reduced–
Pacer US Cash Cows 100 ETF69374H881ETF208,332$10.4M0.3%+72,038+52.9%Added–
FFord Motor CoStock605,979$10.2M0.3%+49,073+8.8%AddedHistory
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD198,548$9.84M0.3%−68,160−25.6%Reduced–
CVXChevron CorpStock59,476$9.69M0.3%−8,831−12.9%ReducedHistory
iShares Core S&P US Value ETF464287663ETF125,792$9.54M0.3%+7,880+6.7%Added–
XOMExxonMobil Holdings CorpCOM115,267$9.52M0.3%−3,281−2.8%ReducedHistory
WMTWalmart Inc.Stock63,339$9.43M0.3%−8,606−12.0%ReducedHistory
Pacer Trendpilot US Bond ETF69374H642ETF386,653$9.40M0.3%−59,704−13.4%Reduced–
Vanguard Morningstar Small-Cap ETF922908751ETF44,155$9.38M0.3%+2,082+4.9%Added–
CRMSalesforce, Inc.Stock42,969$9.12M0.3%+963+2.3%AddedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF38,128$8.68M0.3%−789−2.0%Reduced–
TAT&T Inc.Stock367,175$8.68M0.3%−1,391−0.4%ReducedHistory
BACBank of America CorpStock209,518$8.64M0.3%−1,938−0.9%ReducedHistory
ARK Innovation ETF00214Q104ETF129,224$8.57M0.3%+8,896+7.4%Added–
iShares Tr46435G425ESG AWR MSCI USA84,006$8.51M0.3%+24,719+41.7%Added–
WMWaste Management IncStock53,251$8.44M0.3%−961−1.8%ReducedHistory
iShares MSCI Eafe ETF464287465ETF114,067$8.39M0.3%+7,610+7.1%Added–
Victory Portfolios II92647N824VCSHS US EQ INCM114,873$8.26M0.2%+114,873New–
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF44,125$8.16M0.2%+13,361+43.4%Added–
iShares S&P Small-Cap 600 Value ETF464287879ETF79,475$8.14M0.2%+7,687+10.7%Added–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT166,164$8.13M0.2%−190,844−53.5%Reduced–
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF111,812$8.07M0.2%+975+0.9%Added–
PEPPepsiCo IncStock46,572$7.79M0.2%−417−0.9%ReducedHistory
KOCoca Cola CoStock123,983$7.69M0.2%+741+0.6%AddedHistory
Vanguard High Dividend Yield Index ETF921946406ETF67,445$7.57M0.2%+14,385+27.1%Added–
ADBEAdobe Inc.Stock16,262$7.41M0.2%−380−2.3%ReducedHistory
CATCaterpillar IncStock33,202$7.40M0.2%−4,000−10.8%ReducedHistory
Fidelity MSCI Health Care Index ETF316092600ETF111,832$7.34M0.2%−74,495−40.0%Reduced–
iShares Tr46434V878ULTRA SHORT DUR144,452$7.24M0.2%+8,894+6.6%Added–
TGTTarget CorpStock33,689$7.15M0.2%−599−1.7%ReducedHistory
IAUiShares Gold TrustETF194,012$7.14M0.2%+29,977+18.3%AddedHistory
iShares Tr464288513IBOXX HI YD ETF85,708$7.05M0.2%−11,420−11.8%Reduced–
Vanguard Short-Term Bond ETF921937827ETF89,293$6.96M0.2%+2,231+2.6%Added–
MOAltria Group, Inc.Stock132,284$6.91M0.2%−15,619−10.6%ReducedHistory
MCDMcDonalds CorpStock27,567$6.82M0.2%+456+1.7%AddedHistory
State Street Health Care Select Sector SPDR ETF81369Y209ETF49,492$6.78M0.2%−37,427−43.1%Reduced–
First Tr Exchange-Traded Alp33735J101COM SHS96,071$6.78M0.2%+43,519+82.8%Added–
DTEDte Energy CoCOM50,278$6.65M0.2%+703+1.4%AddedHistory
State Street Utilities Select Sector SPDR ETF81369Y886ETF88,422$6.58M0.2%+5,681+6.9%Added–
MRKMerck & Co., Inc.Stock80,139$6.58M0.2%+913+1.2%AddedHistory
JPMorgan Ultra-Short Income ETF46641Q837ETF126,578$6.36M0.2%+14,534+13.0%Added–

Options (14)

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 Q1 2022
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$1.22M$903.0K
TSLATesla, Inc.Stock$323.0K$539.0K
GOOGAlphabet Inc.Stock–$838.0K
State Street Technology Select Sector SPDR ETF81369Y803ETF–$795.0K
AMZNAmazon Com IncStock–$652.0K
MSFTMicrosoft CorpStock–$493.0K
BABoeing CoStock–$306.0K
FDXFedEx CorpStock–$278.0K
NFLXNetflix IncStock–$262.0K
MRNAModerna, Inc.Stock$258.0K–
AAPLApple Inc.Stock–$227.0K
CRMSalesforce, Inc.Stock–$212.0K
NIONIO Inc.ADR–$211.0K
NLYAnnaly Capital Management IncCOM–$70.0K

Sold out since Q4 2021 (144)

Positions held at the end of Q4 2021 that are gone from this filing.

The largest 100 of 144 by value last quarter.

Positions of Sigma Planning Corp sold out since Q4 2021
SecurityClassShares in Q4 2021Value in Q4 2021% of portfolio in Q4 2021History
iShares Tr464288117INTL TREA BD ETF59,794$3.01M0.1%–
ETF Managers Tr26924G409PRIME MOBILE PAY28,090$1.63M<0.1%–
Kraneshares Trust500767405BOSERA MSCI CHIN29,575$1.28M<0.1%–
GTMZoomInfo Technologies Inc.Stock17,593$1.13M<0.1%History
AFRMAffirm Holdings, Inc.COM CL A11,198$1.13M<0.1%History
UCTTUltra Clean Holdings, Inc.COM13,417$770.0K<0.1%History
American Centy ETF Tr025072810FOCUSED DYNAMIC9,123$737.0K<0.1%–
NMRKNewmark Group, Inc.CL A37,895$709.0K<0.1%History
CENXCentury Aluminum CoCOM42,550$705.0K<0.1%History
OGNOrganon & Co.Stock21,141$644.0K<0.1%History
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD24,853$644.0K<0.1%–
FSLYFastly, Inc.CL A18,118$642.0K<0.1%History
ZGNXZogenix, Inc.COM NEW39,060$635.0K<0.1%History
iShares Tr46435G268RUSEL 2500 ETF9,469$629.0K<0.1%–
AMHAmerican Homes 4 RentCL A14,328$625.0K<0.1%History
SNDRSchneider National, Inc.CL B22,790$613.0K<0.1%History
TITNTitan Machinery Inc.COM17,871$602.0K<0.1%History
UAUnder Armour, Inc.CL C32,231$581.0K<0.1%History
ARCHArch Resources, Inc.CL A6,255$571.0K<0.1%History
ALGMAllegro Microsystems, Inc.COM15,711$568.0K<0.1%History
BOOTBoot Barn Holdings, Inc.COM4,563$561.0K<0.1%History
First Tr Exchange-Traded FD33739Q507SSI STRG ETF12,857$532.0K<0.1%–
INMDInMode Ltd.SHS7,485$528.0K<0.1%History
GLDMWorld Gold TrustSPDR GLD MINIS28,946$526.0K<0.1%History
First Tr Exchng Traded FD VI33740F847FT VEST US EQT13,445$524.0K<0.1%–
GPNGlobal Payments IncStock3,623$490.0K<0.1%History
iShares Tr464288182MSCI AC ASIA ETF5,906$489.0K<0.1%–
Royal Dutch Shell PLC780259206SPONS ADR A11,243$488.0K<0.1%–
WUWestern Union COStock26,870$479.0K<0.1%History
WisdomTree Tr97717W844GLOB EX US QU FD10,953$477.0K<0.1%–
PHGKoninklijke Philips NVNY REGIS SHS NEW12,240$451.0K<0.1%History
FLYYSpirit Aviation Holdings, Inc.COM20,600$450.0K<0.1%History
First Tr Exchange-Traded FD33734X176TECH ALPHADEX3,343$441.0K<0.1%–
SHAKShake Shack Inc.CL A5,763$416.0K<0.1%History
AXSAxis Capital Holdings LtdSHS7,626$415.0K<0.1%History
CSQCalamos Strategic Total Return FundCOM SH BEN INT21,187$409.0K<0.1%History
Flexshares Tr33939L696STOX US ESG SLCT3,473$404.0K<0.1%–
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD15,641$401.0K<0.1%History
MUABlackRock Muniassets Fund, Inc.COM26,233$390.0K<0.1%History
MGNXMacrogenics IncCOM23,310$374.0K<0.1%History
CEFSprott Physical Gold & Silver TrustPHYSICAL GOLD AN20,039$355.0K<0.1%History
ANSSAnsys IncCOM867$348.0K<0.1%History
Innovator ETFs Trust45782C722INTRNL DEV JULY13,610$334.0K<0.1%–
Fidelity Merrimack STR Tr316188101CORP BOND ETF6,050$333.0K<0.1%–
ECOMChanneladvisor CorpCOM13,502$333.0K<0.1%History
PRGOPERRIGO Co plcSHS8,455$329.0K<0.1%History
RESNResonant IncCOM190,900$326.0K<0.1%History
IEXIdex CorpCOM1,363$322.0K<0.1%History
RUNSunrun Inc.COM9,349$321.0K<0.1%History
VanEck ETF Trust92189H201INTRMDT MUNI ETF6,246$320.0K<0.1%–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF6,668$316.0K<0.1%–
KMXCarMax IncCOM2,399$312.0K<0.1%History
RGENRepligen CorpCOM1,164$308.0K<0.1%History
iShares MSCI India ETF46429B598ETF6,617$303.0K<0.1%–
VanEck ETF Trust92189H300JP MRGAN EM LOC10,525$301.0K<0.1%–
TRUPTrupanion, Inc.COM2,274$300.0K<0.1%History
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM10,406$298.0K<0.1%History
Invesco Exch Traded FD Tr II46138G631NASDAQNXTGEN1008,789$295.0K<0.1%–
LWLamb Weston Holdings, Inc.Stock4,581$290.0K<0.1%History
BBWIBath & Body Works, Inc.COM4,078$285.0K<0.1%History
BJBJ's Wholesale Club Holdings, Inc.COM4,246$284.0K<0.1%History
TWTradeweb Markets Inc.Stock2,815$282.0K<0.1%History
Global X FDS37950E549GLB X SUPERDIV22,970$282.0K<0.1%–
QRVOQorvo, Inc.Stock1,779$278.0K<0.1%History
STEMStem, Inc.CL A14,614$277.0K<0.1%History
MASMasco CorpCOM3,934$276.0K<0.1%History
RHRHCOM501$269.0K<0.1%History
JCIJohnson Controls International plcStock3,238$263.0K<0.1%History
PNWPinnacle West Capital CorpCOM3,712$262.0K<0.1%History
HCAHCA Healthcare, Inc.COM1,015$261.0K<0.1%History
First Tr Exchange-Traded FD33738D408FIRST TR TA HIYL5,428$260.0K<0.1%–
Invesco Actively Managed Exc46090A804TOTAL RETURN4,506$254.0K<0.1%–
EXTRExtreme Networks IncCOM16,038$252.0K<0.1%History
BWBabcock & Wilcox Enterprises, Inc.COM27,700$250.0K<0.1%History
EXASExact Sciences CorpCOM3,199$249.0K<0.1%History
HOLXHologic IncCOM3,254$249.0K<0.1%History
NDAQNasdaq, Inc.COM1,177$247.0K<0.1%History
EBAYeBay IncCOM3,708$247.0K<0.1%History
iShares Tr46435U192GENOMICS IMMUN5,603$245.0K<0.1%–
MDCSekisui House U.S., Inc.COM4,392$245.0K<0.1%History
LPXLouisiana-Pacific CorpCOM3,120$244.0K<0.1%History
CIENCiena CorpCOM NEW3,163$243.0K<0.1%History
DOCHealthpeak Properties, Inc.COM6,706$242.0K<0.1%History
SPDR Index Shs FDS78463X202ST STR EU 50 ETF5,194$242.0K<0.1%–
CDMOAvid Bioservices, Inc.COM8,300$242.0K<0.1%History
NVAXNovavax IncCOM NEW1,685$241.0K<0.1%History
PTCPTC Inc.Stock1,973$239.0K<0.1%History
DBX ETF Tr233051820XTRACK MSCI ALL7,096$239.0K<0.1%–
Tidal Trust I886364405SOFI SOCIAL 506,300$237.0K<0.1%–
WisdomTree Tr97717W703INTL EQUITY FD4,360$236.0K<0.1%–
TRIThomson Reuters CorpCOM NEW1,969$236.0K<0.1%History
First Tr Exchng Traded FD VI33740U109TCW SECURITIZED9,108$234.0K<0.1%–
iShares Tr464289479CORE LT USDB ETF3,215$232.0K<0.1%–
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF13,524$232.0K<0.1%–
iShares Tr46428951110+ YR INVST GRD3,333$232.0K<0.1%–
MTCHMatch Group, Inc.COM1,748$231.0K<0.1%History
SPDR Series Trust78464A516ST INTL BBG ETF8,078$228.0K<0.1%–
FTVFortive CorpStock2,979$227.0K<0.1%History
DPZDominos Pizza IncCOM401$227.0K<0.1%History
AESAES CorpStock9,316$226.0K<0.1%History