Sigma Planning Corp
- SEC CIK
- 0001449126
- Latest filing
- Aug 7, 2026
Holdings in Q1 2024
Holdings as of Mar 31, 2024, filed May 2, 2024. Long positions only; changes compare share counts with Q4 2023.
- Positions
- 1,215
- +375 vs. Q4 2023
- Portfolio value
- $3.18B
- +$1.90B (+148.9%) vs. Q4 2023
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| iShares Core S&P 500 ETF464287200 | ETF | 338,152 | $177.8M | 5.6% | +188,068+125.3% | Added | – |
| AAPLApple Inc. | Stock | 779,271 | $133.6M | 4.2% | +505,741+184.9% | Added | History |
| Invesco QQQ Trust Series I46090E103 | ETF | 168,052 | $74.6M | 2.3% | +83,551+98.9% | Added | – |
| MSFTMicrosoft Corp | Stock | 175,533 | $73.9M | 2.3% | +92,492+111.4% | Added | History |
| AMZNAmazon Com Inc | Stock | 364,042 | $65.7M | 2.1% | +221,661+155.7% | Added | History |
| NVDANVIDIA Corp | Stock | 71,055 | $64.2M | 2.0% | +33,275+88.1% | Added | History |
| iShares Core Dividend Growth ETF46434V621 | ETF | 864,481 | $50.2M | 1.6% | +483,872+127.1% | Added | – |
| SPYSPDR S&P 500 ETF Trust | ETF | 95,818 | $50.1M | 1.6% | +54,609+132.5% | Added | History |
| iShares S&P 500 Growth ETF464287309 | ETF | 554,831 | $46.8M | 1.5% | +334,137+151.4% | Added | – |
| Vanguard S&P 500 ETF922908363 | ETF | 91,603 | $44.0M | 1.4% | +54,065+144.0% | Added | – |
| iShares Iboxx $ Investment Grade Corporate Bond ETF464287242 | ETF | 327,706 | $35.7M | 1.1% | +197,034+150.8% | Added | – |
| Pacer US Cash Cows 100 ETF69374H881 | ETF | 602,313 | $35.0M | 1.1% | +350,063+138.8% | Added | – |
| Schwab US Dividend Equity ETF808524797 | ETF | 381,547 | $30.8M | 1.0% | +221,548+138.5% | Added | – |
| iShares Core S&P Mid-Cap ETF464287507 | ETF | 425,537 | $25.8M | 0.8% | +240,877+130.4% | AddedConverted for a 5-for-1 split | – |
| GOOGAlphabet Inc. | Stock | 162,714 | $24.8M | 0.8% | +109,599+206.3% | Added | History |
| BRK.BBerkshire Hathaway Inc | Stock | 53,966 | $22.7M | 0.7% | +27,174+101.4% | Added | History |
| ABBVAbbVie Inc. | Stock | 124,500 | $22.7M | 0.7% | +47,145+60.9% | Added | History |
| First Tr Exchng Traded FD VI33740U505 | FT VEST UQ EQT | 539,937 | $22.3M | 0.7% | +175,126+48.0% | Added | – |
| iShares S&P 500 Value ETF464287408 | ETF | 118,437 | $22.1M | 0.7% | +70,957+149.4% | Added | – |
| VanEck Morningstar Wide Moat ETF92189F643 | ETF | 242,556 | $21.8M | 0.7% | +120,020+97.9% | Added | – |
| iShares Core S&P Small Cap ETF464287804 | ETF | 185,885 | $20.5M | 0.6% | +89,277+92.4% | Added | – |
| iShares Tr46429B655 | FLTG RATE NT ETF | 371,010 | $18.9M | 0.6% | +201,575+119.0% | Added | – |
| GLDSPDR Gold Trust | ETF | 91,290 | $18.8M | 0.6% | +45,345+98.7% | Added | History |
| GOOGLAlphabet Inc. | Stock | 109,609 | $16.5M | 0.5% | +40,838+59.4% | Added | History |
| iShares Core U.S. Aggregate Bond ETF464287226 | ETF | 165,977 | $16.3M | 0.5% | +85,915+107.3% | Added | – |
| LLYEli Lilly & Co | Stock | 20,611 | $16.0M | 0.5% | +6,896+50.3% | Added | History |
| METAMeta Platforms, Inc. | Stock | 32,984 | $16.0M | 0.5% | +17,468+112.6% | Added | History |
| iShares Tr464287457 | 1 3 YR TREAS BD | 194,076 | $15.9M | 0.5% | +130,762+206.5% | Added | – |
| J P Morgan Exchange Traded F46641Q332 | EQUITY PREMIUM | 268,252 | $15.5M | 0.5% | +160,845+149.8% | Added | – |
| JPMJPMorgan Chase & Co | Stock | 75,270 | $15.1M | 0.5% | +41,491+122.8% | Added | History |
| iShares Tr464287572 | GLOBAL 100 ETF | 168,406 | $15.1M | 0.5% | +93,950+126.2% | Added | – |
| iShares Tr464288414 | NATIONAL MUN ETF | 136,243 | $14.7M | 0.5% | +68,309+100.6% | Added | – |
| First Tr Exchng Traded FD VI33740F805 | SMITH OPPORT FXD | 336,084 | $14.7M | 0.5% | +224,238+200.5% | Added | – |
| Invesco Exchange Traded FD T46137V357 | S&P500 EQL WGT | 83,399 | $14.1M | 0.4% | +58,487+234.8% | Added | – |
| XOMExxonMobil Holdings Corp | COM | 121,493 | $14.1M | 0.4% | +74,292+157.4% | Added | History |
| iShares Russell 2000 ETF464287655 | ETF | 66,712 | $14.0M | 0.4% | +47,640+249.8% | Added | – |
| iShares MSCI USA Min Vol Factor ETF46429B697 | ETF | 159,730 | $13.4M | 0.4% | +91,325+133.5% | Added | – |
| HDHome Depot, Inc. | Stock | 33,936 | $13.0M | 0.4% | +17,301+104.0% | Added | History |
| COSTCostco Wholesale Corp | Stock | 17,698 | $13.0M | 0.4% | +8,305+88.4% | Added | History |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 49,670 | $12.9M | 0.4% | +26,398+113.4% | Added | – |
| VVisa Inc. | Stock | 44,944 | $12.5M | 0.4% | +28,019+165.5% | Added | History |
| PGProcter & Gamble Co | Stock | 74,200 | $12.0M | 0.4% | +44,323+148.4% | Added | History |
| State Street Technology Select Sector SPDR ETF81369Y803 | ETF | 57,340 | $11.9M | 0.4% | +21,344+59.3% | Added | – |
| AMDAdvanced Micro Devices Inc | Stock | 64,304 | $11.6M | 0.4% | +51,345+396.2% | Added | History |
| iShares MSCI USA Quality Factor ETF46432F339 | ETF | 70,353 | $11.6M | 0.4% | +33,460+90.7% | Added | – |
| Schwab U.S. Large-Cap ETF808524201 | ETF | 181,288 | $11.3M | 0.4% | +146,269+417.7% | Added | – |
| iShares Broad Usd Investment Grade Corporate Bond ETF464288620 | ETF | 221,064 | $11.2M | 0.4% | +136,199+160.5% | Added | – |
| Vanguard Morningstar Value ETF922908744 | ETF | 67,658 | $11.0M | 0.3% | +33,569+98.5% | Added | – |
| iShares Tr464287432 | 20 YR TR BD ETF | 114,018 | $10.8M | 0.3% | +96,885+565.5% | Added | – |
| JNJJohnson & Johnson | Stock | 67,191 | $10.6M | 0.3% | +39,465+142.3% | Added | History |
| First Tr Exchange-Traded FD33739Q408 | FIRST TR ENH NEW | 177,970 | $10.6M | 0.3% | +83,994+89.4% | Added | – |
| First Tr Exchange-Traded FD33733E104 | CAP STRENGTH ETF | 123,096 | $10.5M | 0.3% | +57,511+87.7% | Added | – |
| iShares Tr464288638 | ISHS 5-10YR INVT | 203,601 | $10.5M | 0.3% | +126,546+164.2% | Added | – |
| VZVerizon Communications Inc | Stock | 248,131 | $10.4M | 0.3% | +142,679+135.3% | Added | History |
| iShares Core S&P US Value ETF464287663 | ETF | 113,133 | $10.2M | 0.3% | +71,178+169.7% | Added | – |
| WMWaste Management Inc | Stock | 47,636 | $10.2M | 0.3% | +23,618+98.3% | Added | History |
| First Trust Rising Dividend Achievers ETF33738R506 | ETF | 175,817 | $9.88M | 0.3% | +86,930+97.8% | Added | – |
| iShares Core MSCI Eafe ETF46432F842 | ETF | 130,906 | $9.72M | 0.3% | +68,699+110.4% | Added | – |
| CATCaterpillar Inc | Stock | 26,475 | $9.70M | 0.3% | +12,828+94.0% | Added | History |
| Capital Group Dividend Value14020W106 | SHS CREAT UNIT | 292,182 | $9.50M | 0.3% | +155,013+113.0% | Added | – |
| State Street Health Care Select Sector SPDR ETF81369Y209 | ETF | 62,015 | $9.16M | 0.3% | +31,830+105.4% | Added | – |
| Schwab U.S. Large-Cap Growth ETF808524300 | ETF | 98,528 | $9.14M | 0.3% | +66,150+204.3% | Added | – |
| iShares Tr46434V878 | ULTRA SHORT DUR | 168,536 | $8.52M | 0.3% | +75,735+81.6% | Added | – |
| CRMSalesforce, Inc. | Stock | 28,225 | $8.50M | 0.3% | +16,670+144.3% | Added | History |
| Vanguard Intermediate-Term Bond ETF921937819 | ETF | 112,475 | $8.48M | 0.3% | +83,873+293.2% | Added | – |
| Vanguard Scottsdale FDS92206C409 | SHRT TRM CORP BD | 109,195 | $8.44M | 0.3% | +76,552+234.5% | Added | – |
| WMTWalmart Inc. | Stock | 138,043 | $8.31M | 0.3% | +66,985+94.3% | AddedConverted for a 3-for-1 split | History |
| AVGOBroadcom Inc. | Stock | 6,256 | $8.29M | 0.3% | +4,728+309.4% | Added | History |
| iShares Tr464287150 | CORE S&P TTL STK | 71,755 | $8.27M | 0.3% | +24,815+52.9% | Added | – |
| First Tr Exchange-Traded FD33739Q200 | FST LOW OPPT EFT | 168,822 | $8.15M | 0.3% | +74,197+78.4% | Added | – |
| State Street Energy Select Sector SPDR ETF81369Y506 | ETF | 86,147 | $8.13M | 0.3% | +24,114+38.9% | Added | – |
| Aim ETF Products Trust00888H802 | ALLIA US JAN ETF | 255,130 | $8.02M | 0.3% | +255,130 | New | – |
| TSLATesla, Inc. | Stock | 45,619 | $8.02M | 0.3% | +17,949+64.9% | Added | History |
| First Tr Exchange Traded FD33741X102 | SMID RISNG ETF | 228,883 | $7.97M | 0.3% | +190,471+495.9% | Added | – |
| NEENextera Energy Inc | Stock | 123,342 | $7.88M | 0.2% | +63,076+104.7% | Added | History |
| UNHUnitedHealth Group Inc | Stock | 15,863 | $7.85M | 0.2% | +8,935+129.0% | Added | History |
| Fidelity MSCI Health Care Index ETF316092600 | ETF | 111,351 | $7.77M | 0.2% | +51,386+85.7% | Added | – |
| Schwab Fundamental International Equity ETF808524755 | ETF | 215,298 | $7.67M | 0.2% | +201,593+1,470.9% | Added | – |
| Vanguard Ftse Developed Markets ETF921943858 | ETF | 152,653 | $7.66M | 0.2% | +92,299+152.9% | Added | – |
| First Tr Exchange Traded FD33738R118 | NASD TECH DIV | 109,922 | $7.66M | 0.2% | +53,964+96.4% | Added | – |
| CVXChevron Corp | Stock | 46,943 | $7.40M | 0.2% | +24,713+111.2% | Added | History |
| First Tr Exchng Traded FD VI33740F755 | FT LADD BUFF ETF | 262,748 | $7.35M | 0.2% | +184,698+236.6% | Added | – |
| First Tr Exchange Traded FD33738R605 | DORSEY WRT 5 ETF | 125,114 | $7.16M | 0.2% | +51,905+70.9% | Added | – |
| iShares S&P Small-Cap 600 Growth ETF464287887 | ETF | 54,295 | $7.10M | 0.2% | +33,633+162.8% | Added | – |
| Vanguard Dividend Appreciation ETF921908844 | ETF | 37,878 | $6.92M | 0.2% | +20,280+115.2% | Added | – |
| Vanguard Morningstar Mid-Cap ETF922908629 | ETF | 27,409 | $6.85M | 0.2% | +15,965+139.5% | Added | – |
| DISWalt Disney Co | Stock | 55,700 | $6.82M | 0.2% | +28,889+107.8% | Added | History |
| UBERUber Technologies, Inc | Stock | 88,322 | $6.80M | 0.2% | +62,525+242.4% | Added | History |
| First Tr Exchng Traded FD VI33740F888 | SMIT UNCO BD ETF | 272,670 | $6.71M | 0.2% | +118,460+76.8% | Added | – |
| IBMInternational Business Machines Corp | Stock | 34,259 | $6.54M | 0.2% | +19,082+125.7% | Added | History |
| ABTAbbott Laboratories | Stock | 57,001 | $6.48M | 0.2% | +10,816+23.4% | Added | History |
| JPMorgan Ultra-Short Income ETF46641Q837 | ETF | 127,927 | $6.45M | 0.2% | +61,448+92.4% | Added | – |
| PEPPepsiCo Inc | Stock | 36,610 | $6.41M | 0.2% | +14,865+68.4% | Added | History |
| Fidelity Merrimack STR Tr316188309 | TOTAL BD ETF | 141,314 | $6.40M | 0.2% | +84,343+148.0% | Added | – |
| MCDMcDonalds Corp | Stock | 22,481 | $6.34M | 0.2% | +12,085+116.2% | Added | History |
| State Street Utilities Select Sector SPDR ETF81369Y886 | ETF | 96,303 | $6.32M | 0.2% | +44,326+85.3% | Added | – |
| Vanguard Total International Bond ETF92203J407 | ETF | 127,348 | $6.26M | 0.2% | +101,596+394.5% | Added | – |
| NOWServiceNow, Inc. | Stock | 8,091 | $6.17M | 0.2% | +7,110+724.8% | Added | History |
| First Tr Exchange-Traded FD33734H106 | SHS | 145,390 | $6.14M | 0.2% | +31,938+28.2% | Added | – |
| iShares Tr464288307 | MRGSTR MD CP GRW | 86,509 | $6.11M | 0.2% | +48,369+126.8% | Added | – |
Options (7)
Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.
| Security | Class | Puts | Calls |
|---|---|---|---|
| ASIXAdvanSix Inc. | COM | $10.9K | – |
| OLEDUniversal Display Corp | COM | $8.64K | – |
| BFHBread Financial Holdings, Inc. | COM | $6.20K | – |
| ECPGEncore Capital Group Inc | COM | $6.12K | – |
| GNWGenworth Financial Inc | COM SHS | $1.78K | – |
| PBIPitney Bowes Inc | COM | $1.58K | – |
| UBSUBS Group AG | Stock | – | $250 |
Sold out since Q4 2023 (34)
Positions held at the end of Q4 2023 that are gone from this filing.
| Security | Class | Shares in Q4 2023 | Value in Q4 2023 | % of portfolio in Q4 2023 | History |
|---|---|---|---|---|---|
| First Tr Exchange-Traded FD33738D408 | FIRST TR TA HIYL | 36,987 | $1.54M | 0.1% | – |
| STLAStellantis N.V. | SHS | 31,696 | $739.1K | 0.1% | History |
| First Tr Exchng Traded FD VI33740F391 | FT VEST U.S | 19,220 | $602.8K | <0.1% | – |
| EFCEllington Financial Inc. | COM | 40,726 | $517.6K | <0.1% | History |
| SCMStellus Capital Investment Corp | COM | 36,473 | $468.7K | <0.1% | History |
| Dimensional ETF Trust25434V203 | INTL CORE EQT MK | 15,629 | $447.6K | <0.1% | – |
| HYTBlackRock Corporate High Yield Fund, Inc. | COM | 46,453 | $438.1K | <0.1% | History |
| NMFCNew Mountain Finance Corp | COM | 33,197 | $422.3K | <0.1% | History |
| TPVGTriplePoint Venture Growth BDC Corp. | COM | 37,440 | $406.6K | <0.1% | History |
| OFSOFS Capital Corp | COM | 33,561 | $392.7K | <0.1% | History |
| DSLDoubleLine Income Solutions Fund | COM | 25,088 | $307.1K | <0.1% | History |
| HESHess Corp | Stock | 2,048 | $295.2K | <0.1% | History |
| ETF Managers Tr26924G201 | PRIME CYBR SCRTY | 4,463 | $269.6K | <0.1% | – |
| EPREpr Properties | COM SH BEN INT | 5,255 | $254.6K | <0.1% | History |
| First Tr Exchng Traded FD VI33740F334 | FT VEST U.S. | 7,906 | $248.4K | <0.1% | – |
| XRXXerox Holdings Corp | COM NEW | 13,343 | $244.6K | <0.1% | History |
| SSentinelOne, Inc. | CL A | 8,600 | $236.0K | <0.1% | History |
| GNRCGenerac Holdings Inc. | Stock | 1,790 | $231.3K | <0.1% | History |
| CCJCameco Corp | Stock | 5,002 | $215.6K | <0.1% | History |
| Vanguard Admiral FDS Inc921932794 | SMLCP 600 GRTH | 1,990 | $214.2K | <0.1% | – |
| UTLUnitil Corp | COM | 3,956 | $207.9K | <0.1% | History |
| AWFAlliancebernstein Global High Income Fund Inc | COM | 19,419 | $196.5K | <0.1% | History |
| PFLTPennantPark Floating Rate Capital Ltd. | COM | 16,204 | $196.1K | <0.1% | History |
| SPHSuburban Propane Partners LP | UNIT LTD PARTN | 11,017 | $195.7K | <0.1% | History |
| Western Digital Corp958102AP0 | NOTE 1.500% 2/0 | – | $151.4K | <0.1% | – |
| ETF Managers Tr26924G102 | PRIME JUNIR SLVR | 14,154 | $141.5K | <0.1% | – |
| NIONIO Inc. | ADR | 14,316 | $129.8K | <0.1% | History |
| CRKComstock Resources Inc | COM | 12,760 | $112.9K | <0.1% | History |
| SERSerina Therapeutics, Inc. | COM | 286,425 | $110.3K | <0.1% | History |
| BYNDBeyond Meat, Inc. | COM | 10,085 | $89.8K | <0.1% | History |
| ACXPAcurx Pharmaceuticals, Inc. | COM | 10,000 | $38.3K | <0.1% | History |
| CHPTChargePoint Holdings, Inc. | COM CL A | 13,973 | $32.7K | <0.1% | History |
| MBRXMoleculin Biotech, Inc. | COM | 12,000 | $10.3K | <0.1% | History |
| STEXStreamex Corp. | COM NEW | 15,000 | $7.13K | <0.1% | History |