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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q2 2022

Holdings as of Jun 30, 2022, filed Aug 11, 2022. Long positions only; changes compare share counts with Q1 2022.

Institution overview
Positions
1,275
−71 vs. Q1 2022
Portfolio value
$2.75B
−$581.6M (−17.5%) vs. Q1 2022
Filed
Aug 11, 2022
SEC
Holdings of Sigma Planning Corp in Q2 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
RQICohen & Steers Quality Income Realty Fund IncCEF27,526$374.0K<0.1%+12,426+82.3%AddedHistory
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF7,172$375.0K<0.1%−1,285−15.2%Reduced–
PINSPinterest, Inc.CL A20,659$375.0K<0.1%−2,750−11.7%ReducedHistory
Schwab U.S. Small-Cap ETF808524607ETF9,644$376.0K<0.1%+737+8.3%Added–
ETF Managers Tr26924G508ETFMG ALTR HRVST64,796$376.0K<0.1%−3,361−4.9%Reduced–
PDPagerDuty, Inc.COM15,232$377.0K<0.1%−738−4.6%ReducedHistory
RTLNecessity Retail REIT, Inc.COM CLASS A51,997$379.0K<0.1%+9,258+21.7%AddedHistory
TELFYTelefonica S ASPONSORED ADR73,804$379.0K<0.1%+73,804NewHistory
BAXBaxter International IncStock5,914$380.0K<0.1%+407+7.4%AddedHistory
LITSLite Strategy, Inc.COM NEW632,200$382.0K<0.1%+213,250+50.9%AddedHistory
iShares Tr464289875CORE 40 MODE ETF9,839$383.0K<0.1%+20.0%Added–
PEGPublic Service Enterprise Group IncCOM6,076$384.0K<0.1%+25+0.4%AddedHistory
iShares Tr46434V803HDG MSCI EAFE12,099$385.0K<0.1%+12,099New–
IDCCInterDigital, Inc.COM6,355$386.0K<0.1%+50+0.8%AddedHistory
TTETotalEnergies SESPONSORED ADS7,329$386.0K<0.1%+891+13.8%AddedHistory
iShares U.S. Healthcare Providers ETF464288828ETF1,514$387.0K<0.1%+58+4.0%Added–
LILi Auto Inc.SPONSORED ADS10,090$387.0K<0.1%+10,090NewHistory
CALYCallaway Golf CoCOM19,216$392.0K<0.1%+649+3.5%AddedHistory
LPXLouisiana-Pacific CorpCOM7,500$393.0K<0.1%+7,500NewHistory
First Tr Exchange Traded FD33738R878DORSEY WRIGHT11,591$393.0K<0.1%−640−5.2%Reduced–
RVTRoyce Small-Cap Trust, Inc.COM28,437$397.0K<0.1%−1,518−5.1%ReducedHistory
Invesco Exchange Traded FD T46137V498S&P SMLCP MOMENT9,079$398.0K<0.1%+2,695+42.2%Added–
ZSZscaler, Inc.Stock2,668$399.0K<0.1%−961−26.5%ReducedHistory
UNGUnited States Natural Gas Fund, LPUNIT PAR20,963$399.0K<0.1%+20,963NewHistory
Kraneshares Trust500767405BOSERA MSCI CHIN10,299$400.0K<0.1%+10,299New–
GNWGenworth Financial IncCOM SHS113,416$400.0K<0.1%+3,931+3.6%AddedHistory
IRTIndependence Realty Trust, Inc.COM19,356$401.0K<0.1%−2,401−11.0%ReducedHistory
EIGREiger BioPharmaceuticals, Inc.COM63,700$401.0K<0.1%+1,400+2.2%AddedHistory
ESTCElastic N.V.ORD SHS5,960$403.0K<0.1%+1,950+48.6%AddedHistory
HZNPHorizon Therapeutics Public Ltd CoSHS5,069$404.0K<0.1%−232−4.4%ReducedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM34,476$405.0K<0.1%−1,363−3.8%ReducedHistory
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT10,590$405.0K<0.1%+3,100+41.4%AddedHistory
RPMRPM International IncCOM5,159$406.0K<0.1%−315−5.8%ReducedHistory
NTRNutrien Ltd.COM5,093$406.0K<0.1%+453+9.8%AddedHistory
WABWestinghouse Air Brake Technologies CorpStock4,969$408.0K<0.1%−27−0.5%ReducedHistory
ELEstee Lauder Companies IncCL A1,604$409.0K<0.1%+1,604NewHistory
Innovator ETFs Trust45782C318US EQTY PWR BUF15,071$412.0K<0.1%+5,587+58.9%Added–
WTRGEssential Utilities, Inc.COM8,992$412.0K<0.1%+178+2.0%AddedHistory
APOApollo Global Management, Inc.COM8,524$413.0K<0.1%−2,159−20.2%ReducedHistory
TWLOTwilio IncCL A4,929$413.0K<0.1%+1,250+34.0%AddedHistory
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF14,358$414.0K<0.1%+1,874+15.0%Added–
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER9,381$414.0K<0.1%+376+4.2%Added–
TSMTaiwan Semiconductor Manufacturing Co LtdADR5,082$415.0K<0.1%−514−9.2%ReducedHistory
DOCUDocuSign, Inc.Stock7,238$415.0K<0.1%−3,182−30.5%ReducedHistory
ARK Next Generation Technology ETF00214Q401ETF8,470$415.0K<0.1%−1,115−11.6%Reduced–
LINLinde PLCSHS1,442$415.0K<0.1%+84+6.2%AddedHistory
MCKMcKesson CorpStock1,275$416.0K<0.1%−143−10.1%ReducedHistory
AGNTAGNT, Inc.COM35,332$416.0K<0.1%+687+2.0%AddedHistory
First Tr Exchange-Traded FD33735T109COMMON SHS38,267$416.0K<0.1%−5,256−12.1%Reduced–
CUECue Biopharma, Inc.COM167,106$416.0K<0.1%+37,378+28.8%AddedHistory
SNVSynovus Financial CorpCOM NEW11,534$416.0K<0.1%−72−0.6%ReducedHistory
First Tr Exchange-Traded Alp33737M102MID CP GR ALPH7,622$417.0K<0.1%−528−6.5%Reduced–
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR35,837$419.0K<0.1%+4,496+14.3%AddedHistory
First Tr Exchange-Traded FD336920103US EQTY OPPT ETF5,096$419.0K<0.1%−27−0.5%Reduced–
DFSDiscover Financial ServicesCOM4,434$419.0K<0.1%−258−5.5%ReducedHistory
LIVELive Ventures IncCOM NEW16,694$419.0K<0.1%+2,928+21.3%AddedHistory
First Trust Financials Alphadex Fund33734X135ETF10,879$423.0K<0.1%−2,830−20.6%Reduced–
MSCIMSCI Inc.Stock1,027$424.0K<0.1%+31+3.1%AddedHistory
Alps ETF Tr00162Q387OSHARES US QUALT10,544$425.0K<0.1%+10,544New–
VSTOVista Outdoor Inc.COM15,249$425.0K<0.1%+1,167+8.3%AddedHistory
DNPDNP Select Income Fund IncCOM39,362$427.0K<0.1%+309+0.8%AddedHistory
MCMoelis & CoCL A10,902$429.0K<0.1%−10,342−48.7%ReducedHistory
iShares Tr464288521CRE U S REIT ETF8,057$430.0K<0.1%−1,030−11.3%Reduced–
IMOImperial Oil LtdCOM NEW9,156$431.0K<0.1%+9,156NewHistory
FRTFederal Realty Investment TrustSH BEN INT NEW4,520$433.0K<0.1%−723−13.8%ReducedHistory
LZBLa-Z-Boy IncCOM18,252$433.0K<0.1%+105+0.6%AddedHistory
PLAYDave & Buster's Entertainment, Inc.COM13,206$433.0K<0.1%−83−0.6%ReducedHistory
TFFPTFF Pharmaceuticals, Inc.COM76,591$433.0K<0.1%+500+0.7%AddedHistory
State Street SPDR S&P Homebuilders ETF78464A888ETF7,973$436.0K<0.1%−1,462−15.5%Reduced–
iShares Core MSCI Europe ETF46434V738ETF9,735$438.0K<0.1%−96−1.0%Reduced–
Alps ETF Tr00162Q858SECTR DIV DOGS8,788$440.0K<0.1%+392+4.7%Added–
BGSB&G Foods, Inc.COM18,560$441.0K<0.1%−487−2.6%ReducedHistory
MFICMidCap Financial Investment CorpCOM NEW41,069$442.0K<0.1%+4,050+10.9%AddedHistory
Vanguard Whitehall FDS921946810INTL DVD ETF6,480$445.0K<0.1%+1,129+21.1%Added–
OTISOtis Worldwide CorpStock6,315$446.0K<0.1%−422−6.3%ReducedHistory
Goldman Sachs ETF Tr381430438EQUAL WEIGHT US8,045$447.0K<0.1%00.0%Unchanged–
Invesco Exchange Traded FD T46137V274S&P500 EQL UTL3,917$447.0K<0.1%+787+25.1%Added–
RIVRivernorth Opportunities Fund, Inc.COM31,636$447.0K<0.1%+31,636NewHistory
First Tr Exchange-Traded FD33738R712DORSEYWRGT ETF17,705$449.0K<0.1%+17,705New–
MCHPMicrochip Technology IncStock7,755$450.0K<0.1%−286−3.6%ReducedHistory
SCHWSchwab Charles CorpStock7,126$450.0K<0.1%−146−2.0%ReducedHistory
NETCloudflare, Inc.CL A COM10,331$452.0K<0.1%−1,132−9.9%ReducedHistory
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF1,919$454.0K<0.1%−14−0.7%Reduced–
ETF Ser Solutions26922A289DEFIANCE CONNECT14,401$454.0K<0.1%−1,085−7.0%Reduced–
UTFCohen & Steers Infrastructure Fund IncCOM17,995$455.0K<0.1%+1,589+9.7%AddedHistory
CPECallon Petroleum CoCOM11,607$455.0K<0.1%+41+0.4%AddedHistory
SNDXSyndax Pharmaceuticals IncCOM23,840$459.0K<0.1%−750−3.1%ReducedHistory
Capital Group Core Equity Et14020V108SHS CREAT UNIT21,195$460.0K<0.1%+21,195New–
ARK ETF Tr00214Q203AUTNMUS TECHNLGY9,202$461.0K<0.1%−816−8.1%Reduced–
iShares Tr464288737GLB CNSM STP ETF7,968$461.0K<0.1%+674+9.2%Added–
TDWTidewater IncCOM21,899$462.0K<0.1%−13,508−38.2%ReducedHistory
CTRACoterra Energy Inc.Stock17,946$463.0K<0.1%+1,911+11.9%AddedHistory
VICIVici Properties Inc.COM15,549$463.0K<0.1%+3,585+30.0%AddedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP9,739$465.0K<0.1%−1,804−15.6%ReducedHistory
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF11,701$467.0K<0.1%+5,788+97.9%Added–
SPGSimon Property Group Inc.REIT4,929$468.0K<0.1%−2,700−35.4%ReducedHistory
ZMZoom Communications, Inc.Stock4,338$468.0K<0.1%+987+29.5%AddedHistory
TFCTruist Financial CorpCOM9,872$468.0K<0.1%−1,935−16.4%ReducedHistory
CECelanese CorpStock3,987$469.0K<0.1%+3,987NewHistory
BRBroadridge Financial Solutions, Inc.Stock3,309$472.0K<0.1%+345+11.6%AddedHistory

Options (10)

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 Q2 2022
SecurityClassPutsCalls
Invesco QQQ Trust Series I46090E103ETF$70.3M–
SPYSPDR S&P 500 ETF TrustETF$55.5M$755.0K
AAPLApple Inc.Stock$328.0K$273.0K
MSFTMicrosoft CorpStock$257.0K$334.0K
GOOGAlphabet Inc.Stock–$219.0K
MRNAModerna, Inc.Stock$214.0K–
HRTXHeron Therapeutics, Inc.COM–$49.0K
FCELFuelcell Energy IncCOM–$47.0K
AGENAgenus IncCOM NEW–$35.0K
VHCVirnetX Holding CorpCOM–$13.0K

Sold out since Q1 2022 (177)

Positions held at the end of Q1 2022 that are gone from this filing.

The largest 100 of 177 by value last quarter.

Positions of Sigma Planning Corp sold out since Q1 2022
SecurityClassShares in Q1 2022Value in Q1 2022% of portfolio in Q1 2022History
iShares Tr4642874571 3 YR TREAS BD248,977$20.8M0.6%–
PEPPepsiCo IncStock46,572$7.79M0.2%History
SPDR Series Trust78464A755ST STR SP METAL81,789$5.01M0.2%–
BROBrown & Brown, Inc.Stock56,529$4.08M0.1%History
Invesco Exchange Traded FD T46137V290S&P500 EQL REL74,713$3.03M0.1%–
American Centy ETF Tr025072505DIVERSIFIED MU36,581$1.89M0.1%–
Vanguard World FD921910709EXTENDED DUR14,271$1.74M0.1%–
First Tr Exchange Traded FD33738R845NASDQ OIL GAS55,234$1.46M<0.1%–
First Tr Exchange Traded FD33734X812INDXX GLOBAL AGR39,333$1.31M<0.1%–
Invesco Exchange Traded FD T46137V761ENERG EXPL ETF46,739$1.30M<0.1%–
Vanguard Index FDS922908652EXTEND MKT ETF6,897$1.14M<0.1%–
MSTRStrategy IncStock2,040$992.0K<0.1%History
AAPAdvance Auto Parts IncCOM4,717$976.0K<0.1%History
iShares Tr464287622RUS 1000 ETF3,706$927.0K<0.1%–
iShares Inc46434G855MSCI GBL GOLD MN29,310$911.0K<0.1%–
GFIGold Fields LtdSPONSORED ADR58,646$907.0K<0.1%History
Vanguard Scottsdale FDS92206C565TOTAL WLD BD ETF10,870$806.0K<0.1%–
TASKTaskUs, Inc.CLASS A COM20,700$796.0K<0.1%History
MOSMosaic CoCOM11,847$788.0K<0.1%History
EXKEndeavour Silver CorpCOM143,460$667.0K<0.1%History
NGNovagold Resources IncCOM NEW85,752$663.0K<0.1%History
SSRMSSR Mining Inc.Stock30,278$659.0K<0.1%History
CSGPCostar Group, Inc.COM9,860$657.0K<0.1%History
Invesco Exch Traded FD Tr II46138E297S&P EMRNG MKTS25,205$651.0K<0.1%–
HMYHarmony Gold Mining Co LtdADR126,000$634.0K<0.1%History
UUnity Software Inc.COM6,299$625.0K<0.1%History
EQXEquinox Gold Corp.COM75,345$623.0K<0.1%History
UGIUgi CorpStock17,104$620.0K<0.1%History
AUAngloGold Ashanti PLCSPONSORED ADR24,334$576.0K<0.1%History
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY56,557$567.0K<0.1%–
MPLXMPLX LPCOM UNIT REP LTD16,682$554.0K<0.1%History
ZBRAZebra Technologies CorpCL A1,285$532.0K<0.1%History
AAAlcoa CorpStock5,826$525.0K<0.1%History
CPBCAMPBELL'S CoCOM11,657$520.0K<0.1%History
CHXChampionX CorpCOM20,600$504.0K<0.1%History
DJTTrump Media & Technology Group Corp.Stock7,740$499.0K<0.1%History
Osi ETF Tr67110P407OSHARES US QUALT10,332$454.0K<0.1%–
Flexshares Tr33939L829INT QLTDVDYNAM15,080$432.0K<0.1%–
PALLabrdn Palladium ETF TrustPHYSICAL PALLADM1,948$407.0K<0.1%History
ASMLASML Holding NVADR602$403.0K<0.1%History
Starboard Invt Tr85521B742ADAPTIVE ALPHA16,291$389.0K<0.1%–
CRCrane CoCOM3,579$388.0K<0.1%History
TNDMTandem Diabetes Care IncCOM NEW3,313$385.0K<0.1%History
ASOAcademy Sports & Outdoors, Inc.COM9,732$383.0K<0.1%History
AONAon plcCL A1,144$373.0K<0.1%History
SPDR Index Shs FDS78463X541ST STR NAT ETF5,655$355.0K<0.1%–
Kraneshares Tr500767587QUADRATIC DEFLA13,789$353.0K<0.1%–
TRGPTarga Resources Corp.COM4,520$341.0K<0.1%History
iShares Inc464286400MSCI BRAZIL ETF8,930$338.0K<0.1%–
CDWCDW CorpCOM1,879$336.0K<0.1%History
GHGuardant Health, Inc.COM4,932$327.0K<0.1%History
Flexshares Tr33939L605IBOXX 5YR TRGT11,848$321.0K<0.1%–
SCCOSouthern Copper CorpStock4,211$320.0K<0.1%History
ZENZendesk, Inc.COM2,650$319.0K<0.1%History
First Tr Exchange-Traded Alp33734Y109COM SHS3,470$318.0K<0.1%–
State Street SPDR S&P Semiconductor ETF78464A862ETF1,516$315.0K<0.1%–
EGLEEagle Bulk Shipping Inc.COM4,625$315.0K<0.1%History
Osi ETF Tr67110P704OSHS GBL INTER8,333$314.0K<0.1%–
WYNNWynn Resorts LtdCOM3,873$309.0K<0.1%History
SNAPSnap IncStock8,520$307.0K<0.1%History
Renaissance Cap Greenwich FD759937204IPO ETF6,890$304.0K<0.1%–
RCLRoyal Caribbean Cruises LtdCOM3,612$303.0K<0.1%History
UALUnited Airlines Holdings, Inc.COM6,358$295.0K<0.1%History
STRLSterling Infrastructure, Inc.COM10,950$293.0K<0.1%History
CNQCanadian Natural Resources LtdCOM4,694$291.0K<0.1%History
JKHYJack Henry & Associates IncStock1,421$280.0K<0.1%History
ICEIntercontinental Exchange, Inc.Stock2,102$278.0K<0.1%History
WisdomTree Tr97717Y691CLOUD COMPUTNG6,750$276.0K<0.1%–
ARTWArts Way Manufacturing Co IncCOM49,600$274.0K<0.1%History
PBCTPeople's United Financial, Inc.COM13,553$271.0K<0.1%History
RILYBRC Group Holdings, Inc.COM3,838$269.0K<0.1%History
Direxion Shares ETF Trust25459Y207NASDAQ 100 EQ WT3,471$268.0K<0.1%–
MURMurphy Oil CorpCOM6,605$267.0K<0.1%History
PENNPENN Entertainment, Inc.COM6,277$266.0K<0.1%History
DBX ETF Tr233051101XTRACK MSCI EMRG10,872$266.0K<0.1%–
Atlantica Sustainable Infr PG0751N103SHS7,587$266.0K<0.1%–
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF6,233$262.0K<0.1%–
STAGSTAG Industrial, Inc.COM6,280$260.0K<0.1%History
ARK Blockchain & Fintech Innovation ETF00214Q708ETF8,904$259.0K<0.1%–
SPDR Series Trust78464A656ST STR TIPS ETF8,571$259.0K<0.1%–
Invesco Exchange Traded FD T46137V472S&P MDCP QUALITY3,391$256.0K<0.1%–
EXPEExpedia Group, Inc.Stock1,297$254.0K<0.1%History
STMSTMicroelectronics N.V.NY REGISTRY5,884$254.0K<0.1%History
SOYBTeucrium Commodity TrustSOYBEAN FD9,390$251.0K<0.1%History
CHGGChegg, IncCOM6,878$250.0K<0.1%History
Global X FDS37954Y442CLOUD COMPUTNG11,273$248.0K<0.1%–
LHLabcorp Holdings Inc.COM NEW934$246.0K<0.1%History
Invesco Exch Traded FD Tr II46138E636INTL CORP BD9,670$245.0K<0.1%–
KKRKKR & Co. Inc.COM4,131$242.0K<0.1%History
AGCOAGCO CorpCOM1,626$238.0K<0.1%History
Amplify ETF Tr032108102ONLIN RETL ETF3,608$237.0K<0.1%–
Invesco Exchange Traded FD T46137V647SEMICONDUCTORS1,818$236.0K<0.1%–
iShares Broad Usd Investment Grade Corporate Bond ETF464288620ETF4,270$235.0K<0.1%–
CTASCintas CorpStock544$232.0K<0.1%History
Vanguard Admiral FDS Inc921932844MIDCP 400 VAL1,385$232.0K<0.1%–
MNSTMonster Beverage CorpCOM2,892$231.0K<0.1%History
PFGPrincipal Financial Group IncCOM3,150$231.0K<0.1%History
BBYBest Buy Co IncStock2,534$230.0K<0.1%History
First Tr Exchange-Traded FD33734X853INTL EQUITY OPP4,693$229.0K<0.1%–
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM9,000$229.0K<0.1%History