Skip to main content

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed May 8, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
1,293
+35 vs. Q4 2022
Portfolio value
$3.01B
+$212.0M (+7.6%) vs. Q4 2022
Filed
May 8, 2023
SEC
Holdings of Sigma Planning Corp in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
AAPLApple Inc.Stock892,640$147.2M4.9%−18,899−2.1%ReducedHistory
iShares Core S&P 500 ETF464287200ETF345,783$142.1M4.7%+11,303+3.4%Added–
MSFTMicrosoft CorpStock180,722$52.1M1.7%−4,012−2.2%ReducedHistory
Invesco QQQ Trust Series I46090E103ETF159,694$51.3M1.7%+3,192+2.0%Added–
iShares Core Dividend Growth ETF46434V621ETF886,215$44.3M1.5%−91,852−9.4%Reduced–
AMZNAmazon Com IncStock398,702$41.2M1.4%−1,119−0.3%ReducedHistory
Schwab US Dividend Equity ETF808524797ETF486,997$35.6M1.2%+90,255+22.7%Added–
SPYSPDR S&P 500 ETF TrustETF80,454$32.9M1.1%−923−1.1%ReducedHistory
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF258,247$28.3M0.9%+37,837+17.2%Added–
Vanguard S&P 500 ETF922908363ETF74,903$28.2M0.9%+8,596+13.0%Added–
iShares S&P 500 Growth ETF464287309ETF433,650$27.7M0.9%+101,280+30.5%Added–
iShares Core S&P Small Cap ETF464287804ETF270,177$26.1M0.9%−2,439−0.9%Reduced–
iShares Core S&P Mid-Cap ETF464287507ETF100,226$25.1M0.8%−1,647−1.6%Reduced–
GLDSPDR Gold TrustETF136,617$25.0M0.8%+50,354+58.4%AddedHistory
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM441,167$24.1M0.8%+59,306+15.5%Added–
Pacer US Cash Cows 100 ETF69374H881ETF511,322$24.0M0.8%+740+0.1%Added–
NVDANVIDIA CorpStock86,259$24.0M0.8%−3,073−3.4%ReducedHistory
First Tr Exchange-Traded FD336917109SHS649,172$23.0M0.8%+212,498+48.7%Added–
iShares Core U.S. Aggregate Bond ETF464287226ETF225,145$22.4M0.7%−28,979−11.4%Reduced–
iShares MSCI USA Min Vol Factor ETF46429B697ETF298,192$21.7M0.7%+4,323+1.5%Added–
First Trust Rising Dividend Achievers ETF33738R506ETF449,310$20.2M0.7%−62,108−12.1%Reduced–
iShares Tr4642874571 3 YR TREAS BD245,307$20.2M0.7%+31,482+14.7%Added–
JPMorgan Ultra-Short Income ETF46641Q837ETF382,948$19.3M0.6%+14,084+3.8%Added–
GOOGAlphabet Inc.Stock172,752$18.0M0.6%−3,975−2.2%ReducedHistory
iShares S&P 500 Value ETF464287408ETF113,757$17.3M0.6%−2,911−2.5%Reduced–
JNJJohnson & JohnsonStock105,780$16.4M0.5%+2,164+2.1%AddedHistory
ABBVAbbVie Inc.Stock102,697$16.4M0.5%−3,621−3.4%ReducedHistory
First Tr Exchange-Traded FD33739Q408FIRST TR ENH NEW264,101$15.7M0.5%+26,409+11.1%Added–
iShares Tr464287150CORE S&P TTL STK167,255$15.1M0.5%−8,692−4.9%Reduced–
BRK.BBerkshire Hathaway IncStock47,599$14.7M0.5%+1,492+3.2%AddedHistory
First Tr Exchange-Traded FD33733E104CAP STRENGTH ETF199,239$14.5M0.5%−5,161−2.5%Reduced–
TSLATesla, Inc.Stock69,065$14.3M0.5%+9,773+16.5%AddedHistory
GOOGLAlphabet Inc.Stock137,321$14.2M0.5%−689−0.5%ReducedHistory
State Street Energy Select Sector SPDR ETF81369Y506ETF170,370$14.1M0.5%−27,058−13.7%Reduced–
First Tr Exchange-Traded FD33734H106SHS339,656$13.6M0.5%−19,180−5.3%Reduced–
iShares Tr464288646ISHS 1-5YR INVS267,298$13.5M0.4%+243,600+1,027.9%Added–
JPMJPMorgan Chase & CoStock103,025$13.4M0.4%+9,818+10.5%AddedHistory
XOMExxonMobil Holdings CorpCOM120,867$13.3M0.4%−2,794−2.3%ReducedHistory
iShares Tr46429B655FLTG RATE NT ETF262,705$13.2M0.4%−25,795−8.9%Reduced–
iShares Tr464288414NATIONAL MUN ETF121,626$13.1M0.4%−4,255−3.4%Reduced–
PGProcter & Gamble CoStock83,905$12.5M0.4%−377−0.4%ReducedHistory
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD275,045$12.4M0.4%+132,195+92.5%Added–
HDHome Depot, Inc.Stock40,554$12.0M0.4%−2,876−6.6%ReducedHistory
Schwab U.S. Large-Cap Growth ETF808524300ETF179,949$11.7M0.4%−7,808−4.2%Reduced–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT244,666$11.7M0.4%+42,877+21.2%Added–
VZVerizon Communications IncStock296,922$11.5M0.4%+23,350+8.5%AddedHistory
Fidelity MSCI Health Care Index ETF316092600ETF176,104$10.8M0.4%+7,687+4.6%Added–
Vanguard Morningstar Value ETF922908744ETF75,612$10.4M0.3%+10,328+15.8%Added–
iShares Core MSCI Emerging Markets ETF46434G103ETF213,775$10.4M0.3%+7,924+3.8%Added–
Vanguard Morningstar Mid-Cap ETF922908629ETF49,084$10.4M0.3%−3,107−6.0%Reduced–
NEENextera Energy IncStock133,371$10.3M0.3%−21,030−13.6%ReducedHistory
VVisa Inc.Stock44,670$10.1M0.3%−5,159−10.4%ReducedHistory
State Street Health Care Select Sector SPDR ETF81369Y209ETF73,627$9.53M0.3%−1,789−2.4%Reduced–
CVXChevron CorpStock56,799$9.27M0.3%+75+0.1%AddedHistory
UNHUnitedHealth Group IncStock19,469$9.20M0.3%−8,587−30.6%ReducedHistory
iShares Core S&P US Value ETF464287663ETF124,148$9.16M0.3%−7,550−5.7%Reduced–
American Centy ETF Tr025072877US SML CP VALU123,330$9.13M0.3%+6,503+5.6%Added–
COSTCostco Wholesale CorpStock18,252$9.07M0.3%−1,154−5.9%ReducedHistory
State Street Technology Select Sector SPDR ETF81369Y803ETF60,021$9.06M0.3%−257−0.4%Reduced–
DISWalt Disney CoStock90,095$9.02M0.3%+1,128+1.3%AddedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF43,352$8.85M0.3%+1,370+3.3%Added–
PEPPepsiCo IncStock48,334$8.81M0.3%+442+0.9%AddedHistory
BABoeing CoStock41,309$8.78M0.3%−5,340−11.4%ReducedHistory
First Tr Exchng Traded FD VI33740F888SMIT UNCO BD ETF359,887$8.71M0.3%−22,833−6.0%Reduced–
iShares MSCI USA Momentum Factor ETF46432F396ETF62,418$8.68M0.3%−2,145−3.3%Reduced–
WMWaste Management IncStock53,131$8.67M0.3%−1,313−2.4%ReducedHistory
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD113,259$8.63M0.3%+1,608+1.4%Added–
iShares Tips Bond ETF464287176ETF77,152$8.51M0.3%−54,703−41.5%Reduced–
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT58,063$8.40M0.3%+2,626+4.7%Added–
State Street Financial Select Sector SPDR ETF81369Y605ETF260,222$8.37M0.3%−26,590−9.3%Reduced–
iShares Core MSCI Eafe ETF46432F842ETF124,051$8.29M0.3%−17,301−12.2%Reduced–
UPSUnited Parcel Service IncStock42,567$8.26M0.3%−480−1.1%ReducedHistory
LLYEli Lilly & CoStock24,002$8.24M0.3%+4,262+21.6%AddedHistory
VanEck Morningstar Wide Moat ETF92189F643ETF110,052$8.13M0.3%−8,572−7.2%Reduced–
MCDMcDonalds CorpStock28,893$8.08M0.3%+761+2.7%AddedHistory
Vanguard Morningstar Small-Cap ETF922908751ETF42,456$8.05M0.3%−2,467−5.5%Reduced–
iShares U.S. Medical Devices ETF464288810ETF148,198$8.00M0.3%−4,980−3.3%Reduced–
First Tr Exchange-Traded Alp33735J101COM SHS119,862$7.96M0.3%−608−0.5%Reduced–
PFEPfizer IncStock194,632$7.94M0.3%−24,759−11.3%ReducedHistory
WMTWalmart Inc.Stock53,840$7.94M0.3%−1,800−3.2%ReducedHistory
MRKMerck & Co., Inc.Stock74,591$7.94M0.3%−7,457−9.1%ReducedHistory
iShares Tr46434V878ULTRA SHORT DUR151,445$7.61M0.3%+35,179+30.3%Added–
iShares Tr46436E7180-3 MTH TREASURY74,585$7.50M0.2%+74,585New–
Vanguard Ftse Developed Markets ETF921943858ETF165,046$7.46M0.2%+11,013+7.1%Added–
METAMeta Platforms, Inc.Stock35,049$7.43M0.2%−7,370−17.4%ReducedHistory
Pacer Trendpilot US Large Cap ETF69374H105ETF191,558$7.29M0.2%−152,824−44.4%Reduced–
KOCoca Cola CoStock117,278$7.27M0.2%−6,453−5.2%ReducedHistory
Vanguard Intermediate-Term Bond ETF921937819ETF94,312$7.24M0.2%+14,938+18.8%Added–
CATCaterpillar IncStock31,107$7.12M0.2%+6,859+28.3%AddedHistory
iShares Select Dividend ETF464287168ETF60,205$7.05M0.2%+1,008+1.7%Added–
Vanguard High Dividend Yield Index ETF921946406ETF66,666$7.03M0.2%−3,439−4.9%Reduced–
SPDR Series Trust78464A763ST STR SP DIV56,598$7.00M0.2%+23,604+71.5%Added–
Vanguard Dividend Appreciation ETF921908844ETF45,130$6.95M0.2%−887−1.9%Reduced–
IAUiShares Gold TrustETF184,388$6.89M0.2%+24,563+15.4%AddedHistory
CRMSalesforce, Inc.Stock34,447$6.88M0.2%−219−0.6%ReducedHistory
Schwab U.S. Large-Cap ETF808524201ETF139,257$6.74M0.2%+10,158+7.9%Added–
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF99,344$6.72M0.2%−2,734−2.7%Reduced–
MOAltria Group, Inc.Stock148,450$6.62M0.2%−2,562−1.7%ReducedHistory
LMTLockheed Martin CorpStock13,969$6.60M0.2%−301−2.1%ReducedHistory
FFord Motor CoStock522,456$6.58M0.2%−92,513−15.0%ReducedHistory

Options (2)

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 2023
SecurityClassPutsCalls
ASANAsana, Inc.CL A–$423
SOFISoFi Technologies, Inc.Stock–$87

Sold out since Q4 2022 (86)

Positions held at the end of Q4 2022 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
First Tr Exchng Traded FD VI33740F615FT VEST US EQT144,120$4.35M0.2%–
iShares Tr46434V282U S EQUITY FACTR80,378$3.14M0.1%–
WisdomTree Bloomberg US Dollar Bullish Fund97717W471ETF98,630$2.57M0.1%–
iShares Tr46435G433MSCI USA SMCP MN61,431$2.13M0.1%–
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF15,513$1.71M0.1%–
Vanguard World FD921910873MEGA CAP INDEX10,744$1.42M0.1%–
PIMCO ETF Tr72201R88225YR+ ZERO U S15,585$1.36M<0.1%–
First Tr Exchng Traded FD VI33740U802FT VEST U.S.35,766$1.05M<0.1%–
Invesco Exch TRD SLF Idx FD46138J668BULLSHS 23 USD38,529$896.2K<0.1%–
Invesco Exch TRD SLF Idx FD46138J650BULLSHS 24 USD37,024$891.0K<0.1%–
iShares Tr464287374NORTH AMERN NAT21,311$866.5K<0.1%–
SPDR Series Trust78464A805ST STR PR SP150018,283$864.6K<0.1%–
SPDR Series Trust78464A128ST STR SP1500VT5,624$786.3K<0.1%–
AUAngloGold Ashanti PLCSPONSORED ADR38,206$742.0K<0.1%History
Invesco Exch Traded FD Tr II46138E149S&P SMLCP HELT5,239$691.5K<0.1%–
iShares Tr46435U861CORE DIVID ETF18,262$685.0K<0.1%–
WUWestern Union COStock46,195$636.1K<0.1%History
HMYHarmony Gold Mining Co LtdADR184,962$628.9K<0.1%History
OGNOrganon & Co.Stock21,099$589.3K<0.1%History
HASHasbro, Inc.COM9,578$584.4K<0.1%History
Simplify Exchange Traded Fun82889N699MANAGED FUTURES22,395$582.5K<0.1%–
Litman Gregory FDS Tr53700T827IMGP DBI MAN ETF19,761$575.2K<0.1%–
First Tr Exchng Traded FD VI33740F854FT VEST U.S.17,403$541.6K<0.1%–
iShares Tr464287325GLOB HLTHCRE ETF6,107$518.4K<0.1%–
SPDR Series Trust78464A284ST NUVE HIGH ETF10,316$505.2K<0.1%–
Kraneshares Trust500767652MOUNT LUCAS ETF14,714$449.5K<0.1%–
EEExcelerate Energy, Inc.CL A COM17,300$433.4K<0.1%History
RVTYRevvity, Inc.COM3,071$430.7K<0.1%History
iShares Tr464287184CHINA LG-CAP ETF14,935$422.7K<0.1%–
iShares Inc464286319EM MKTS DIV ETF17,331$418.0K<0.1%–
Agf Invts Tr00110G408US MARKET NETRL18,352$389.2K<0.1%–
Schwab Strategic Tr808524862SHT TM US TRES7,155$345.2K<0.1%–
ZZillow Group, Inc.CL C CAP STK9,859$317.6K<0.1%History
Pacer Trendpilot US Bond ETF69374H642ETF15,471$311.1K<0.1%–
Abrdn ETFs003261203BBRG ALL COMMDY8,796$304.3K<0.1%–
ESTEEarthstone Energy IncCL A20,398$290.3K<0.1%History
Vanguard Total World Stock ETF922042742ETF3,355$289.2K<0.1%–
XYLXylem Inc.COM2,500$276.5K<0.1%History
SPDR Series Trust78468R523ST STR BL 12 ETF2,776$275.7K<0.1%–
BIIBBiogen Inc.COM948$262.5K<0.1%History
iShares Tr464288638ISHS 5-10YR INVT5,202$257.6K<0.1%–
iShares Tr464287770U.S. FIN SVC ETF1,616$254.7K<0.1%–
JAKKJakks Pacific IncCOM NEW14,130$247.1K<0.1%History
EGLEEagle Bulk Shipping Inc.COM4,924$245.9K<0.1%History
GSGiShares S&P GSCI Commodity-Indexed TrustUNIT BEN INT11,491$244.0K<0.1%History
USOUnited States Oil Fund, LPUNITS3,464$242.9K<0.1%History
JDJD.com, Inc.SPON ADS CL A4,266$239.5K<0.1%History
NXHNeighborhood Intelligence, Inc.COM12,309$238.3K<0.1%History
Invesco Exchange Traded FD T46137V373S&P500 EQL STP1,397$238.2K<0.1%–
iShares MSCI Acwi Ex U.S. ETF464288240ETF5,214$237.2K<0.1%–
TPLTexas Pacific Land CorpStock100$234.6K<0.1%History
HOGHarley-Davidson, Inc.COM5,634$234.4K<0.1%History
Innovator ETFs Trust45782C722INTRNL DEV JULY9,599$228.9K<0.1%–
APAAPA CorpStock4,848$226.3K<0.1%History
iShares U.S. Regional Banks ETF464288778ETF4,740$225.8K<0.1%–
UNLUnited States 12 Month Natural Gas Fund, LPUNIT BEN INT12,954$223.2K<0.1%History
SHLSShoals Technologies Group, Inc.CL A8,802$217.1K<0.1%History
Franklin Templeton ETF Tr35473P462BRANDYWINEGLOBAL18,727$214.4K<0.1%–
FHNFirst Horizon CorpCOM8,722$213.7K<0.1%History
SJISouth Jersey Industries IncCOM5,820$206.8K<0.1%History
Vanguard Scottsdale FDS92206C706INTER TERM TREAS3,528$206.4K<0.1%–
NTGTortoise Midstream Energy Fund, Inc.COM5,862$202.7K<0.1%History
TXTernium S.A.SPONSORED ADS6,598$201.7K<0.1%History
PENNPENN Entertainment, Inc.COM6,755$200.6K<0.1%History
NIDNuveen Intermediate Duration Municipal Term FundCOM13,776$180.7K<0.1%History
HPEHewlett Packard Enterprise CoCOM10,017$159.9K<0.1%History
Amplify Blockchain Technology ETF032108607ETF10,354$156.6K<0.1%–
NVGNuveen AMT-Free Municipal Credit Income FundCEF11,270$136.8K<0.1%History
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS13,483$123.0K<0.1%History
HEQJohn Hancock Diversified Income FundCOM10,217$117.5K<0.1%History
TALTAL Education GroupSPONSORED ADS14,600$102.9K<0.1%History
MUXMcEwen Inc.COM NEW17,030$99.8K<0.1%History
HOODRobinhood Markets, Inc.Stock10,429$84.9K<0.1%History
RIGTransocean Ltd.REGISTERED SHS17,409$79.4K<0.1%History
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,373$78.3K<0.1%History
Harbor Custom Development IN41150T2078% CONV PFD SR A10,800$69.7K<0.1%–
IAGIamgold CorpCOM26,853$69.3K<0.1%History
TTITetra Technologies IncCOM12,331$42.7K<0.1%History
Advisorshares Tr00768Y495PURE CANNABIS11,068$39.8K<0.1%–
ONCTOncternal Therapeutics, Inc.COM20,025$20.0K<0.1%History
HCDIHarbor Custom Development, Inc.COM18,503$6.86K<0.1%History
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$3.54K<0.1%History
AYTUAytu Biopharma, IncCOM NEW16,996$3.21K<0.1%History
CFORCapForce Inc.COM17,500$2.47K<0.1%History
REEDReed's, Inc.COM29,565$2.06K<0.1%History
Avaya Hldgs Corp05351XAB7NOTE 2.250% 6/120,000$750<0.1%–