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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
Dimensional U.S. Core Equity 2 ETF25434V708ETF8,894$245.0K<0.1%−1,830−17.1%Reduced–
AIGAmerican International Group, Inc.Stock3,901$245.0K<0.1%+3,901NewHistory
PLTRPalantir Technologies Inc.Stock17,866$245.0K<0.1%−29,383−62.2%ReducedHistory
Invesco Exch Traded FD Tr II46138E636INTL CORP BD9,670$245.0K<0.1%−2,731−22.0%Reduced–
LHLabcorp Holdings Inc.COM NEW934$246.0K<0.1%−17−1.8%ReducedHistory
AGOAssured Guaranty LtdCOM3,902$248.0K<0.1%−300−7.1%ReducedHistory
Global X FDS37954Y442CLOUD COMPUTNG11,273$248.0K<0.1%−1,264−10.1%Reduced–
RYRoyal Bank of CanadaStock2,259$249.0K<0.1%+66+3.0%AddedHistory
JDJD.com, Inc.SPON ADS CL A4,304$249.0K<0.1%−20.0%ReducedHistory
CHGGChegg, IncCOM6,878$250.0K<0.1%−15,671−69.5%ReducedHistory
CBChubb LtdStock1,171$251.0K<0.1%−282−19.4%ReducedHistory
SOYBTeucrium Commodity TrustSOYBEAN FD9,390$251.0K<0.1%+9,390NewHistory
BENFranklin Templeton IncCOM9,024$252.0K<0.1%−1,497−14.2%ReducedHistory
LITSLite Strategy, Inc.COM NEW418,950$252.0K<0.1%+260,600+164.6%AddedHistory
RQICohen & Steers Quality Income Realty Fund IncCEF15,100$253.0K<0.1%−30,940−67.2%ReducedHistory
EXPEExpedia Group, Inc.Stock1,297$254.0K<0.1%−91−6.6%ReducedHistory
STMSTMicroelectronics N.V.NY REGISTRY5,884$254.0K<0.1%+202+3.6%AddedHistory
iShares Inc464286533MSCI EMERG MRKT4,156$254.0K<0.1%−25−0.6%Reduced–
Invesco Exchange Traded FD T46137V472S&P MDCP QUALITY3,391$256.0K<0.1%−349−9.3%Reduced–
BTZBlackRock Credit Allocation Income TrustCOM20,347$256.0K<0.1%+901+4.6%AddedHistory
MDNAFMedicenna Therapeutics Corp.COM200,300$256.0K<0.1%+60,250+43.0%AddedHistory
Cambria ETF Tr132061300CAMBRIA FGN SHR9,371$257.0K<0.1%+9,371New–
ARK Blockchain & Fintech Innovation ETF00214Q708ETF8,904$259.0K<0.1%−6,068−40.5%Reduced–
SPDR Series Trust78468R721STATE STREET SPD5,414$259.0K<0.1%−1,046−16.2%Reduced–
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM26,258$259.0K<0.1%+356+1.4%AddedHistory
SPDR Series Trust78464A656ST STR TIPS ETF8,571$259.0K<0.1%+8,571New–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF5,913$260.0K<0.1%+523+9.7%Added–
STAGSTAG Industrial, Inc.COM6,280$260.0K<0.1%−378−5.7%ReducedHistory
IRIngersoll Rand Inc.COM5,165$260.0K<0.1%00.0%UnchangedHistory
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF6,233$262.0K<0.1%−4,597−42.4%Reduced–
Invesco Exch Traded FD Tr II46138G102S&P SMLCP LOW5,392$264.0K<0.1%−1,322−19.7%Reduced–
ALLEAllegion plcORD SHS2,418$265.0K<0.1%−100−4.0%ReducedHistory
Fidelity Covington Trust316092618ENHA HIGH YI ETF5,188$265.0K<0.1%+858+19.8%Added–
PENNPENN Entertainment, Inc.COM6,277$266.0K<0.1%−71−1.1%ReducedHistory
Amplify ETF Tr032108847CEF HIGH INCOME17,770$266.0K<0.1%+50+0.3%Added–
DBX ETF Tr233051101XTRACK MSCI EMRG10,872$266.0K<0.1%−32,792−75.1%Reduced–
Atlantica Sustainable Infr PG0751N103SHS7,587$266.0K<0.1%+6+0.1%Added–
MURMurphy Oil CorpCOM6,605$267.0K<0.1%+6,605NewHistory
iShares Tr46436E569ESG SELECT SCRE7,758$267.0K<0.1%−934−10.7%Reduced–
GLUGabelli Global Utility & Income TrustCOM SH BEN INT13,622$267.0K<0.1%+1,398+11.4%AddedHistory
Invesco Exchange Traded FD T46137V886DWA STAPLES3,123$267.0K<0.1%+490+18.6%Added–
Global X FDS37954Y459RUSSELL 200011,260$268.0K<0.1%−600−5.1%Reduced–
Direxion Shares ETF Trust25459Y207NASDAQ 100 EQ WT3,471$268.0K<0.1%+3,471New–
Golden Ocean Group LtdG39637205SHS NEW21,687$268.0K<0.1%+2,677+14.1%Added–
Invesco Exchange Traded FD T46137V738LARGE CAP VALUE5,498$269.0K<0.1%−54−1.0%Reduced–
JFRNuveen Floating Rate Income FundCOM26,852$269.0K<0.1%+16,552+160.7%AddedHistory
RILYBRC Group Holdings, Inc.COM3,838$269.0K<0.1%+1,019+36.1%AddedHistory
CMLSQCumulus Media IncCOM CL A27,000$269.0K<0.1%00.0%UnchangedHistory
NVONovo Nordisk A SADR2,444$271.0K<0.1%−24−1.0%ReducedHistory
EPREpr PropertiesCOM SH BEN INT4,956$271.0K<0.1%−3−0.1%ReducedHistory
VanEck ETF Trust92189F429PREFERRED SECURT13,183$271.0K<0.1%+32+0.2%Added–
PBCTPeople's United Financial, Inc.COM13,553$271.0K<0.1%−8,768−39.3%ReducedHistory
BKNGBooking Holdings Inc.Stock115$272.0K<0.1%−5−4.2%ReducedHistory
iShares MSCI Acwi Ex U.S. ETF464288240ETF5,209$272.0K<0.1%+10.0%Added–
BDJBlackRock Enhanced Equity Dividend TrustCOM27,461$272.0K<0.1%+157+0.6%AddedHistory
PIMCO ETF Tr72201R817INV GRD CRP BD2,613$272.0K<0.1%+36+1.4%Added–
NKLANikola CorpCOM25,369$272.0K<0.1%−1,778−6.5%ReducedHistory
SYBTStock Yards Bancorp, Inc.COM5,155$273.0K<0.1%00.0%UnchangedHistory
KYNBKyntra Bio, Inc.COM22,725$273.0K<0.1%+4,200+22.7%AddedHistory
ARTWArts Way Manufacturing Co IncCOM49,600$274.0K<0.1%+49,600NewHistory
SAMBoston Beer Co IncCL A707$275.0K<0.1%−37−5.0%ReducedHistory
DBLDoubleLine Opportunistic Credit FundCOM16,416$275.0K<0.1%−972−5.6%ReducedHistory
WisdomTree Tr97717Y691CLOUD COMPUTNG6,750$276.0K<0.1%−2,891−30.0%Reduced–
ICEIntercontinental Exchange, Inc.Stock2,102$278.0K<0.1%+41+2.0%AddedHistory
DKSDick's Sporting Goods, Inc.Stock2,792$279.0K<0.1%−2,785−49.9%ReducedHistory
SPXXNuveen S&P 500 Dynamic Overwrite FundCOM15,500$279.0K<0.1%−2,100−11.9%ReducedHistory
CPCanadian Pacific Kansas City LtdCOM3,383$279.0K<0.1%+224+7.1%AddedHistory
JKHYJack Henry & Associates IncStock1,421$280.0K<0.1%+1,421NewHistory
WisdomTree Tr97717X511YIELD ENHANCD US5,845$280.0K<0.1%−439−7.0%Reduced–
iShares Tr46435U853BROAD USD HIGH7,230$281.0K<0.1%+320+4.6%Added–
DOVDOVER CorpCOM1,794$282.0K<0.1%−34−1.9%ReducedHistory
EDITEditas Medicine, Inc.COM14,872$283.0K<0.1%+3,484+30.6%AddedHistory
OLNOLIN CorpStock5,429$284.0K<0.1%+713+15.1%AddedHistory
RHPRyman Hospitality Properties, Inc.COM3,056$284.0K<0.1%00.0%UnchangedHistory
Innovator ETFs Trust45782C540US EQTY PWR BUF9,105$284.0K<0.1%+1,750+23.8%Added–
MTTRMatterport, Inc.COM CL A34,920$284.0K<0.1%+24,272+227.9%AddedHistory
First Tr Exchng Traded FD VI33740F680FT VEST US EQT8,709$285.0K<0.1%+250+3.0%Added–
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC3,377$286.0K<0.1%+3,377New–
Advisorshares Tr00768Y453PURE US CANN ETF13,691$286.0K<0.1%−548−3.8%Reduced–
SITESiteOne Landscape Supply, Inc.COM1,775$287.0K<0.1%+450+34.0%AddedHistory
KEYKeycorpCOM12,872$288.0K<0.1%+539+4.4%AddedHistory
Innovator ETFs Trust45782C409US EQTY BUFR JAN7,995$289.0K<0.1%−1,097−12.1%Reduced–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT71,948$290.0K<0.1%+12,160+20.3%AddedHistory
PFCPremier Financial CorpCOM9,574$290.0K<0.1%+6+0.1%AddedHistory
CCChemours CoStock9,250$291.0K<0.1%−569−5.8%ReducedHistory
Innovator ETFs Trust45782C318US EQTY PWR BUF9,484$291.0K<0.1%00.0%Unchanged–
CNQCanadian Natural Resources LtdCOM4,694$291.0K<0.1%+4,694NewHistory
ESGREnstar Group LTDSHS1,123$293.0K<0.1%+1,123NewHistory
STRLSterling Infrastructure, Inc.COM10,950$293.0K<0.1%−3,550−24.5%ReducedHistory
iShares Tr464288752US HOME CONS ETF4,966$294.0K<0.1%−9,138−64.8%Reduced–
BNSBank of Nova ScotiaCOM4,097$294.0K<0.1%+295+7.8%AddedHistory
CPRTCopart IncCOM2,341$294.0K<0.1%+116+5.2%AddedHistory
VanEck ETF Trust92189H805RARE EARTH AND S2,490$295.0K<0.1%−2,155−46.4%Reduced–
UALUnited Airlines Holdings, Inc.COM6,358$295.0K<0.1%−1,860−22.6%ReducedHistory
BBNBlackRock Taxable Municipal Bond TrustSHS13,479$297.0K<0.1%−1,569−10.4%ReducedHistory
iShares Tr464288844US OIL EQ&SV ETF15,418$297.0K<0.1%+3,691+31.5%Added–
ELMEElme CommunitiesSH BEN INT11,680$298.0K<0.1%−79−0.7%ReducedHistory
SPDR Series Trust78468R556SP O&G EXPL PRO2,225$300.0K<0.1%+2,225New–
Vanguard Intl Equity Index F922042866FTSE PACIFIC ETF4,056$300.0K<0.1%−4,972−55.1%Reduced–
LYVLive Nation Entertainment, Inc.COM2,575$303.0K<0.1%+95+3.8%AddedHistory

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