Sigma Planning Corp

SEC CIK: 0001449126
Latest filing: Aug 7, 2026

SEC filings (opens in a new tab)

Holdings in Q2 2023

Holdings as of Jun 30, 2023, filed Aug 2, 2023. Long positions only; changes compare share counts with Q1 2023.

Positions: 1,199; −94 vs. Q1 2023
Portfolio value: $2.78B; −$224.3M (−7.5%) vs. Q1 2023
Filed: Aug 2, 2023; SEC

Holdings of Sigma Planning Corp in Q2 2023
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
ILMNIllumina, Inc.	COM	3,744	$702.0K	<0.1%	−99−2.6%	Reduced	History
State Street SPDR S&P 600 Small Cap Value ETF78464A300	ETF	9,152	$706.5K	<0.1%	−224−2.4%	Reduced	–
WisdomTree Tr97717W604	US SMALLCAP DIVD	24,539	$706.5K	<0.1%	−14,674−37.4%	Reduced	–
Schwab Emerging Markets Equity ETF808524706	ETF	28,786	$709.0K	<0.1%	+586+2.1%	Added	–
TPVGTriplePoint Venture Growth BDC Corp.	COM	60,210	$709.3K	<0.1%	+16,317+37.2%	Added	History
QQQXNuveen NASDAQ 100 Dynamic Overwrite Fund	COM SHS	28,498	$710.5K	<0.1%	+806+2.9%	Added	History
Innovator ETFs Trust45782C813	US EQTY PWR BUF	20,806	$712.0K	<0.1%	+3,085+17.4%	Added	–
LQDALiquidia Corp	COM NEW	90,755	$712.4K	<0.1%	+3,520+4.0%	Added	History
ABNBAirbnb, Inc.	Stock	5,563	$713.0K	<0.1%	−2,585−31.7%	Reduced	History
iShares Tr464287291	GLOBAL TECH ETF	11,504	$715.5K	<0.1%	−2,552−18.2%	Reduced	–
J P Morgan Exchange Traded F46641Q670	CORE PLUS BD ETF	15,371	$716.0K	<0.1%	+674+4.6%	Added	–
Barrick Gold Corp067901108	COM	42,396	$717.8K	<0.1%	−26,324−38.3%	Reduced	–
Dimensional ETF Trust25434V724	US MKTWIDE VALUE	20,838	$718.9K	<0.1%	+2,874+16.0%	Added	–
iShares Tr464288661	3 7 YR TREAS BD	6,239	$719.2K	<0.1%	+426+7.3%	Added	–
NVSNovartis AG	ADR	7,137	$720.3K	<0.1%	−589−7.6%	Reduced	History
GMGeneral Motors Co	COM	18,732	$722.3K	<0.1%	−3,367−15.2%	Reduced	History
RBCRBC Bearings INC	COM	3,351	$728.7K	<0.1%	−77−2.2%	Reduced	History
PRUPrudential Financial Inc	Stock	8,291	$731.5K	<0.1%	−6,312−43.2%	Reduced	History
Invesco Actvely MNGD Etc FD46090F100	OPTIMUM YIELD	53,838	$732.5K	<0.1%	−16,678−23.7%	Reduced	–
iShares Tr46435U713	US INFRASTRUC	18,780	$734.0K	<0.1%	+1,412+8.1%	Added	–
iShares Tr464288802	ESG OPTIMIZED	7,854	$735.5K	<0.1%	−138−1.7%	Reduced	–
BF.BBrown Forman Corp	Stock	11,024	$736.2K	<0.1%	−238−2.1%	Reduced	History
CFRCullen/Frost Bankers, Inc.	COM	6,874	$739.3K	<0.1%	−90−1.3%	Reduced	History
First Tr Exchange Traded FD33738R662	INTL DEV STRNGTH	22,793	$739.4K	<0.1%	−663−2.8%	Reduced	–
HUMHumana Inc	Stock	1,653	$739.5K	<0.1%	+407+32.7%	Added	History
RABrookfield Real Assets Income Fund Inc.	SHS BEN INT	44,125	$739.5K	<0.1%	−573−1.3%	Reduced	History
iShares Tr464288513	IBOXX HI YD ETF	9,877	$741.5K	<0.1%	−9,720−49.6%	Reduced	–
ANETArista Networks, Inc.	COM	4,583	$742.7K	<0.1%	−367−7.4%	Reduced	History
SCHWSchwab Charles Corp	Stock	13,170	$746.5K	<0.1%	−1,458−10.0%	Reduced	History
EPREpr Properties	COM SH BEN INT	16,025	$750.0K	<0.1%	−70.0%	Reduced	History
HUNHuntsman CORP	COM	27,850	$752.5K	<0.1%	−351−1.2%	Reduced	History
iShares U.S. ETF Trust iShares Gsci Commodity Dynamic Roll Strategy ETF46431W853	ETF	29,056	$754.9K	<0.1%	−2,906−9.1%	Reduced	–
iShares Tr46435G326	CORE MSCI INTL	12,375	$756.4K	<0.1%	+2,691+27.8%	Added	–
GNRCGenerac Holdings Inc.	Stock	5,095	$759.8K	<0.1%	−3,816−42.8%	Reduced	History
Vanguard Scottsdale FDS92206C649	VNG RUS2000VAL	6,151	$760.6K	<0.1%	−31−0.5%	Reduced	–
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853	ETF	19,674	$764.1K	<0.1%	+19,674	New	–
LNCLincoln National Corp	COM	29,738	$766.1K	<0.1%	−118−0.4%	Reduced	History
State Street SPDR S&P Homebuilders ETF78464A888	ETF	9,542	$766.3K	<0.1%	−1,087−10.2%	Reduced	–
PSLVSprott Physical Silver Trust	PHYSICAL SILVER	98,592	$768.0K	<0.1%	+1,925+2.0%	Added	History
First Tr Exchng Traded FD VI33740F722	FT VEST US EQT	18,671	$773.8K	<0.1%	+726+4.0%	Added	–
Global X FDS37954Y715	RBTCS ARTFL INTE	26,932	$774.1K	<0.1%	+26,932	New	–
IRIngersoll Rand Inc.	COM	11,843	$774.1K	<0.1%	+7,754+189.6%	Added	History
TTTrane Technologies plc	SHS	4,058	$776.1K	<0.1%	−473−10.4%	Reduced	History
Schwab International Equity ETF808524805	ETF	21,811	$777.6K	<0.1%	−11,313−34.2%	Reduced	–
Timothy Plan887432342	U S SM CP CORE	24,518	$781.7K	<0.1%	−469−1.9%	Reduced	–
TMUST-Mobile US, Inc.	Stock	5,631	$782.2K	<0.1%	−1,398−19.9%	Reduced	History
First Trust Financials Alphadex Fund33734X135	ETF	20,892	$787.7K	<0.1%	−264−1.2%	Reduced	–
Flexshares Tr33939L761	CR SCD US BD	16,915	$792.6K	<0.1%	+16,915	New	–
First Tr Exchange-Traded Alp33735B108	COM SHS	8,243	$794.0K	<0.1%	−17,736−68.3%	Reduced	–
LENLennar Corp	CL A	6,346	$795.2K	<0.1%	−34−0.5%	Reduced	History
HPQHP Inc	Stock	25,937	$796.5K	<0.1%	−667−2.5%	Reduced	History
DEODiageo PLC	SPON ADR NEW	4,611	$800.0K	<0.1%	−517−10.1%	Reduced	History
VMWVmware LLC	CL A COM	5,567	$800.1K	<0.1%	−1,823−24.7%	Reduced	History
Vanguard Consumer Discretionary ETF92204A108	ETF	2,828	$801.0K	<0.1%	+226+8.7%	Added	–
Innovator ETFs Trust45782C318	US EQTY PWR BUF	26,983	$805.5K	<0.1%	+6,995+35.0%	Added	–
BTIBritish American Tobacco p.l.c.	SPONSORED ADR	24,278	$806.0K	<0.1%	+9,829+68.0%	Added	History
Vanguard BD Index FDS921937793	LONG TERM BOND	10,811	$810.0K	<0.1%	+356+3.4%	Added	–
BCBrunswick Corp	COM	9,368	$811.7K	<0.1%	−41−0.4%	Reduced	History
State Street Real Estate Select Sector SPDR ETF81369Y860	ETF	21,564	$812.8K	<0.1%	+5,759+36.4%	Added	–
XRXXerox Holdings Corp	COM NEW	54,604	$813.1K	<0.1%	+2,408+4.6%	Added	History
Fidelity Merrimack STR Tr316188200	LTD TRM BD ETF	17,104	$821.1K	<0.1%	−6,638−28.0%	Reduced	–
CUECue Biopharma, Inc.	COM	225,300	$822.3K	<0.1%	+4,411+2.0%	Added	History
CCJCameco Corp	Stock	26,321	$824.7K	<0.1%	+26,321	New	History
iShares Tr46435U150	IBONDS 23 TRM HG	35,103	$829.5K	<0.1%	−11,045−23.9%	Reduced	–
CHICalamos Convertible Opportunities & Income Fund	SH BEN INT	74,231	$831.4K	<0.1%	−14,612−16.4%	Reduced	History
State Street SPDR Portfolio Developed World Ex-US ETF78463X889	ETF	25,607	$833.3K	<0.1%	+12,327+92.8%	Added	–
Vanguard Consumer Staples ETF92204A207	ETF	4,316	$839.3K	<0.1%	−180−4.0%	Reduced	–
Bondbloxx ETF Trust09789C861	BLOOMBERG ONE YR	17,054	$847.2K	<0.1%	+17,054	New	–
iShares Tr464287739	U.S. REAL ES ETF	9,790	$847.3K	<0.1%	−1,934−16.5%	Reduced	–
CLFCleveland-Cliffs Inc.	COM	50,730	$850.2K	<0.1%	+6,222+14.0%	Added	History
Flexshares Tr33939L407	MORNSTAR UPSTR	21,231	$850.8K	<0.1%	−3,584−14.4%	Reduced	–
SQMChemical & Mining Co of Chile Inc	SPON ADR SER B	11,771	$854.9K	<0.1%	−70−0.6%	Reduced	History
DBX ETF Tr233051200	XTRACK MSCI EAFE	24,248	$857.7K	<0.1%	+4,155+20.7%	Added	–
iShares Tr46435U184	IBONDS 24 TRM HG	37,413	$863.5K	<0.1%	+10,544+39.2%	Added	–
iShares Tr464287556	ISHARES BIOTECH	6,810	$864.7K	<0.1%	−2,088−23.5%	Reduced	–
Invesco Exchange Traded FD T46137V100	AEROSPACE DEFN	10,256	$866.3K	<0.1%	+2,072+25.3%	Added	–
ELVElevance Health, Inc.	Stock	1,950	$866.4K	<0.1%	−398−17.0%	Reduced	History
First Tr Exchange-Traded FD33738D309	SENIOR LN FD	19,147	$867.4K	<0.1%	−5,999−23.9%	Reduced	–
MELIMercadolibre Inc	COM	732	$867.7K	<0.1%	+44+6.4%	Added	History
J P Morgan Exchange Traded F46641Q852	INTL BD OPP ETF	18,639	$868.6K	<0.1%	+18,639	New	–
CBChubb Ltd	Stock	4,515	$869.6K	<0.1%	−204−4.3%	Reduced	History
Pacer Trendpilot 100 ETF69374H303	ETF	14,017	$870.0K	<0.1%	−5,828−29.4%	Reduced	–
First Tr Exchng Traded FD VI33740U778	VEST BUFFERED	43,255	$872.9K	<0.1%	−22,709−34.4%	Reduced	–
PLDPrologis, Inc.	REIT	7,130	$874.5K	<0.1%	−2,210−23.7%	Reduced	History
iShares Tr464287697	U.S. UTILITS ETF	10,739	$878.0K	<0.1%	−1,027−8.7%	Reduced	–
ORLYO Reilly Automotive Inc	Stock	921	$880.3K	<0.1%	−14−1.5%	Reduced	History
MPTMedical Properties Trust Inc	COM	95,229	$881.8K	<0.1%	+272+0.3%	Added	History
Invesco Exch Traded FD Tr II46138G805	TAXABLE MUN BD	33,214	$881.9K	<0.1%	−1,729−4.9%	Reduced	–
Fidelity MSCI Financials Index ETF316092501	ETF	18,753	$882.7K	<0.1%	−10,477−35.8%	Reduced	–
DBAInvesco DB Agriculture Fund	AGRICULTURE FD	41,925	$883.4K	<0.1%	+41,925	New	History
SWKStanley Black & Decker, Inc.	COM	9,437	$884.4K	<0.1%	+317+3.5%	Added	History
iShares Tr464288570	ESG MSCI KLD ETF	10,540	$887.2K	<0.1%	−481−4.4%	Reduced	–
iShares Tr464288257	MSCI ACWI ETF	9,263	$888.7K	<0.1%	−2,538−21.5%	Reduced	–
OXYOccidental Petroleum Corp	Stock	15,117	$888.9K	<0.1%	−2,356−13.5%	Reduced	History
State Street SPDR S&P Biotech ETF78464A870	ETF	10,733	$893.1K	<0.1%	−1,656−13.4%	Reduced	–
First Tr Exchng Traded FD VI33740F771	FT VEST US	25,278	$894.1K	<0.1%	−3,308−11.6%	Reduced	–
Flexshares Tr33939L886	ULTR SHO INC FD	11,937	$894.8K	<0.1%	+1,035+9.5%	Added	–
HYTBlackRock Corporate High Yield Fund, Inc.	COM	100,687	$898.1K	<0.1%	+1,023+1.0%	Added	History
ROPRoper Technologies Inc	Stock	1,868	$898.5K	<0.1%	−250−11.8%	Reduced	History
VTRVentas, Inc.	REIT	19,042	$900.1K	<0.1%	+742+4.1%	Added	History

Options (3)

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 2023
Security	Class	Puts	Calls
SPYSPDR S&P 500 ETF Trust	ETF	$5.81K	–
AAPAdvance Auto Parts Inc	COM	–	$2.81K
ProShares Tr74347X831	ULTRAPRO QQQ	–	$2.46K

Sold out since Q1 2023 (178)

Positions held at the end of Q1 2023 that are gone from this filing.

The largest 100 of 178 by value last quarter.

Positions of Sigma Planning Corp sold out since Q1 2023
Security	Class	Shares in Q1 2023	Value in Q1 2023	% of portfolio in Q1 2023	History
Invesco Exchange Traded FD T46137V258	S&P500 PUR VAL	35,256	$2.68M	0.1%	–
First Tr Exchange-Traded FD33734X150	INDLS PROD DUR	42,576	$2.37M	0.1%	–
PRVBProvention Bio, Inc.	COM	92,500	$2.23M	0.1%	History
Victory Portfolios II92647N824	VCSHS US EQ INCM	33,167	$2.01M	0.1%	–
First Tr Exchange Traded FD33738R860	NASDAQ BK ETF	81,003	$1.72M	0.1%	–
BROSDutch Bros Inc.	CL A	45,677	$1.44M	<0.1%	History
First Tr Exchng Traded FD VI33740U208	FT VEST US EQT	38,442	$1.39M	<0.1%	–
MBLYMobileye Global Inc.	Stock	27,250	$1.18M	<0.1%	History
iShares Tr46435G672	CORE INTL AGGR	23,490	$1.15M	<0.1%	–
First Tr Exch Traded FD III33740J203	EQUITY MARKET NE	53,383	$1.07M	<0.1%	–
NTAPNetApp, Inc.	Stock	15,892	$1.01M	<0.1%	History
ETF Ser Solutions26922A222	APTUS COLLRD INV	31,729	$957.9K	<0.1%	–
ETF Ser Solutions26922A388	APTUS DEFINED	36,251	$941.4K	<0.1%	–
APTOAptose Biosciences Inc.	COM NEW	1,444,550	$924.5K	<0.1%	History
PVHPVH Corp.	COM	10,073	$898.2K	<0.1%	History
PIIPolaris Inc.	Stock	8,064	$892.2K	<0.1%	History
DBBInvesco DB Base Metals Fund	BASE METALS FD	41,811	$844.6K	<0.1%	History
VanEck ETF Trust92189F452	MORTGAGE REIT	74,509	$842.0K	<0.1%	–
Nushares ETF Tr67092P201	NUVEEN ESG LRGCP	14,533	$810.1K	<0.1%	–
ETF Ser Solutions26922A784	APTUS DRAWDOWN	23,161	$801.4K	<0.1%	–
LYBLyondellBasell Industries N.V.	SHS - A -	8,109	$761.4K	<0.1%	History
EQXEquinox Gold Corp.	COM	146,052	$752.2K	<0.1%	History
BTGB2GOLD Corp	COM	189,739	$747.6K	<0.1%	History
EXKEndeavour Silver Corp	COM	188,873	$732.8K	<0.1%	History
Invesco Exch Traded FD Tr II46138E628	KBW BK ETF	17,334	$727.5K	<0.1%	–
GFIGold Fields Ltd	SPONSORED ADR	54,274	$722.9K	<0.1%	History
ADSKAutodesk, Inc.	COM	3,465	$721.3K	<0.1%	History
WRBBerkley W R Corp	COM	11,194	$697.0K	<0.1%	History
First Tr Exch TRD Alphdx FD33737J117	EUROPE ALPHADEX	19,645	$682.8K	<0.1%	–
Flexshares Tr33939L845	QLT DIV DEF IDX	12,847	$680.1K	<0.1%	–
FISVFiserv Inc	Stock	5,928	$670.1K	<0.1%	History
Exchange Listed FDS Tr30151E814	HIGH YIELD ETF	24,358	$642.2K	<0.1%	–
Global X FDS37960A651	SUPERDVDND REIT	28,490	$620.2K	<0.1%	–
Flexshares Tr33939L670	CRE SLCT BD FD	26,895	$606.2K	<0.1%	–
WisdomTree Tr97717W208	US HIGH DIVIDEND	6,723	$553.1K	<0.1%	–
IBKRInteractive Brokers Group, Inc.	Stock	6,581	$543.3K	<0.1%	History
First Tr Exch TRD Alphdx FD33737J182	EMERG MKT ALPH	24,862	$527.1K	<0.1%	–
WisdomTree Tr97717W786	INTL DIV EX FINL	13,513	$525.1K	<0.1%	–
GLBEGlobal-E Online Ltd.	SHS	15,721	$506.7K	<0.1%	History
First Tr Exchange-Traded FD33738D879	FT VEST RIS	23,013	$494.1K	<0.1%	–
Invesco Exchange Traded FD T46137V274	S&P500 EQL UTL	4,306	$488.4K	<0.1%	–
Invesco Exchange Traded FD T46137V738	LARGE CAP VALUE	10,761	$487.3K	<0.1%	–
IVZInvesco Ltd.	Stock	29,601	$485.5K	<0.1%	History
PEGPublic Service Enterprise Group Inc	COM	7,571	$472.8K	<0.1%	History
J P Morgan Exchange Traded F46641Q654	ULTRA SHT MUNCPL	9,264	$470.6K	<0.1%	–
MPLXMPLX LP	COM UNIT REP LTD	13,640	$469.9K	<0.1%	History
SPDR Series Trust78464A581	ST STR SP HCEQ	4,925	$461.1K	<0.1%	–
PLAYDave & Buster's Entertainment, Inc.	COM	12,489	$459.5K	<0.1%	History
BIGGQFormer BL Stores Inc	COM	40,845	$447.7K	<0.1%	History
CALYCallaway Golf Co	COM	20,248	$437.8K	<0.1%	History
First Tr Exchng Traded FD VI33740F540	SKYB CRY IND ETF	88,016	$434.5K	<0.1%	–
SPDR Series Trust78464A755	ST STR SP METAL	8,100	$430.6K	<0.1%	–
AIGAmerican International Group, Inc.	Stock	8,184	$412.2K	<0.1%	History
First Tr Exchng Traded FD VI33740F847	FT VEST US EQT	10,705	$402.5K	<0.1%	–
ETF Ser Solutions26922A446	OPUS SML CP VL	12,612	$392.8K	<0.1%	–
ZSZscaler, Inc.	Stock	3,354	$391.8K	<0.1%	History
MCMoelis & Co	CL A	10,045	$386.2K	<0.1%	History
Invesco Exch Traded FD Tr II46138E669	GLOBAL EX US HGH	19,936	$383.4K	<0.1%	–
CHYCalamos Convertible & High Income Fund	COM SHS	34,563	$377.4K	<0.1%	History
Innovator ETFs Trust45783Y814	LADERD ALCTN PWR	10,263	$368.7K	<0.1%	–
Invesco Exch Traded FD Tr II46138E370	S&P 500 HB ETF	5,008	$350.4K	<0.1%	–
State Street SPDR S&P Aerospace & Defense ETF78464A631	ETF	2,949	$344.8K	<0.1%	–
SPDR Ser Tr78464A813	S&P 600 SML CAP	4,098	$344.4K	<0.1%	–
Innovator U.S. Equity Ultra Buffer ETF - January45782C300	ETF	10,961	$340.8K	<0.1%	–
ETF Ser Solutions26922A289	DEFIANCE CONNECT	10,216	$335.0K	<0.1%	–
PDPagerDuty, Inc.	COM	9,527	$333.3K	<0.1%	History
First Tr Exchange Traded FD33738R878	DORSEY WRIGHT	9,945	$328.0K	<0.1%	–
iShares Inc46434G764	MSCI EMRG CHN	6,624	$326.8K	<0.1%	–
Innovator ETFs Trust45782C680	US EQTY PWR BF	11,036	$325.6K	<0.1%	–
WYNNWynn Resorts Ltd	COM	2,903	$324.9K	<0.1%	History
CXTCrane NXT, Co.	COM	2,849	$323.4K	<0.1%	History
BHKBlackRock Core Bond Trust	SHS BEN INT	29,809	$323.1K	<0.1%	History
Global X FDS37954Y814	FINTECH ETF	15,221	$316.9K	<0.1%	–
Innovator ETFs Trust45782C466	GRWT100 PWR BF	8,261	$313.2K	<0.1%	–
Invesco Exchange Traded FD T46137V266	S&P500 PUR GWT	2,053	$310.4K	<0.1%	–
iShares Tr464288505	MRGSTR SM CP ETF	6,380	$302.4K	<0.1%	–
iShares Tr46435G102	CONV BD ETF	4,135	$300.3K	<0.1%	–
Innovator ETFs Trust45782C573	US EQTY PWR BUF	9,261	$294.5K	<0.1%	–
Fidelity Covington Trust316092709	MSCI INDL INDX	5,548	$293.4K	<0.1%	–
STLDSteel Dynamics Inc	COM	2,547	$288.1K	<0.1%	History
Flexshares Tr33939L506	IBOXX 3R TARGT	11,904	$287.7K	<0.1%	–
BHPBHP Group Ltd	ADR	4,529	$287.2K	<0.1%	History
U.S. Global Jets ETF26922A842	ETF	15,350	$286.0K	<0.1%	–
Innovator ETFs Trust45782C516	EMRGNG MKT JAN	10,077	$284.1K	<0.1%	–
TWNKHostess Brands, Inc.	CL A	11,280	$280.6K	<0.1%	History
PIMCO Active Bond Exchange-Traded Fund72201R775	ETF	2,975	$276.0K	<0.1%	–
ASHAshland Inc.	COM	2,605	$267.6K	<0.1%	History
ETREntergy Corp	COM	2,443	$263.3K	<0.1%	History
SPDR Index Shs FDS78463X756	ST MARKE CAP ETF	5,196	$263.2K	<0.1%	–
iShares Core MSCI Europe ETF46434V738	ETF	5,006	$262.3K	<0.1%	–
UGIUgi Corp	Stock	7,507	$261.0K	<0.1%	History
NBBNuveen Taxable Municipal Income Fund	COM	16,100	$259.5K	<0.1%	History
ALLEAllegion plc	ORD SHS	2,418	$258.1K	<0.1%	History
iShares Inc464286533	MSCI EMERG MRKT	4,720	$257.6K	<0.1%	–
ABBNYABB Ltd	SPONSORED ADR	7,492	$257.0K	<0.1%	History
XIFRXPLR Infrastructure, LP	COM UNIT PART IN	4,160	$252.7K	<0.1%	History
CCChemours Co	Stock	8,439	$252.7K	<0.1%	History
iShares Tr464288521	CRE U S REIT ETF	4,974	$250.7K	<0.1%	–
SNYSanofi	SPONSORED ADR	4,575	$249.0K	<0.1%	History
PIMCO ETF Tr72201R817	INV GRD CRP BD	2,584	$248.6K	<0.1%	–