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 |
|---|---|---|---|---|---|---|---|
| SQFTWPresidio Property Trust, Inc. | *W EXP 01/24/202 | 10,218 | $705 | <0.1% | 00.0% | Unchanged | History |
| Portage Biotech IncG7185A128 | COM | 10,680 | $6.02K | <0.1% | +10,680 | New | – |
| RCATRed Cat Holdings, Inc. | Stock | 13,683 | $10.5K | <0.1% | +13,683 | New | History |
| LUMNLumen Technologies, Inc. | Stock | 11,007 | $17.2K | <0.1% | +11,007 | New | History |
| PLGPlatinum Group Metals Ltd | COM | 18,500 | $21.6K | <0.1% | +3,000+19.4% | Added | History |
| OPKOpko Health, Inc. | COM | 18,189 | $21.8K | <0.1% | +18,189 | New | History |
| DNNDenison Mines Corp. | COM | 12,000 | $23.4K | <0.1% | +2,000+20.0% | Added | History |
| ZOMDFZomedica Corp. | COM | 160,500 | $23.4K | <0.1% | +160,500 | New | History |
| NKLANikola Corp | COM | 22,549 | $23.5K | <0.1% | −4,110−15.4% | Reduced | History |
| EVGNEvogene Ltd. | SHS | 31,785 | $23.8K | <0.1% | +8,698+37.7% | Added | History |
| RGTIRigetti Computing, Inc. | COMMON STOCK | 17,416 | $26.6K | <0.1% | +17,416 | New | History |
| TLRYTilray Brands, Inc. | COM CL 2 | 11,004 | $27.2K | <0.1% | +11,004 | New | History |
| TPICQTpi Composites, Inc | COM | 10,061 | $29.3K | <0.1% | +50+0.5% | Added | History |
| BBBLACKBERRY Ltd | COM | 12,326 | $34.0K | <0.1% | +12,326 | New | History |
| SIRISirius XM Holdings Inc. | COM | 10,710 | $41.6K | <0.1% | +10,710 | New | History |
| OXSQOxford Square Capital Corp. | COM | 13,525 | $42.9K | <0.1% | 00.0% | Unchanged | History |
| GGBGerdau S.A. | SPON ADR REP PFD | 10,378 | $45.9K | <0.1% | +10,378 | New | History |
| STEMStem, Inc. | CL A | 20,955 | $45.9K | <0.1% | +7,180+52.1% | Added | History |
| JMIAJumia Technologies AG | SPONSORED ADS | 10,343 | $53.0K | <0.1% | +10,343 | New | History |
| BBDBank Bradesco | SP ADR PFD NEW | 19,463 | $55.7K | <0.1% | +19,463 | New | History |
| Amplify ETF Tr032108631 | AMPLIFY ALTERNAT | 13,548 | $56.6K | <0.1% | +13,548 | New | – |
| SBSafe Bulkers, Inc. | COM | 11,658 | $57.8K | <0.1% | +11,658 | New | History |
| GABGabelli Equity Trust Inc | COM | 11,749 | $64.9K | <0.1% | +11,749 | New | History |
| AWPabrdn Global Premier Properties Fund | COM SH BEN INT | 16,447 | $65.1K | <0.1% | +2,965+22.0% | Added | History |
| CIKUBS Asset Management Income Fund, Inc. | COM | 22,168 | $65.4K | <0.1% | −25,309−53.3% | Reduced | History |
| Lithium Americas Argentina Cor Com Shs53681K100 | Stock | 12,419 | $66.9K | <0.1% | +12,419 | New | – |
| IBRXImmunityBio, Inc. | COM | 12,920 | $69.4K | <0.1% | +12,920 | New | History |
| CIMChimera Investment Corp | COM NEW | 16,185 | $74.6K | <0.1% | +2,829+21.2% | Added | History |
| IGRCbre Global Real Estate Income Fund | COM | 14,344 | $77.2K | <0.1% | +14,344 | New | History |
| MTTRMatterport, Inc. | COM CL A | 35,675 | $80.6K | <0.1% | +12,350+52.9% | Added | History |
| AGFirst Majestic Silver Corp | COM | 14,720 | $86.6K | <0.1% | +3,019+25.8% | Added | History |
| RWTRedwood Trust Inc | COM | 13,880 | $88.4K | <0.1% | +13,880 | New | History |
| FSCOFS Credit Opportunities Corp. | COMMON STOCK | 15,157 | $89.9K | <0.1% | +15,157 | New | History |
| FLYYSpirit Aviation Holdings, Inc. | COM | 19,535 | $94.6K | <0.1% | +19,535 | New | History |
| PLUGPlug Power Inc | Stock | 28,055 | $96.5K | <0.1% | +11,014+64.6% | Added | History |
| EDITEditas Medicine, Inc. | COM | 13,290 | $98.6K | <0.1% | +13,290 | New | History |
| HLHecla Mining Co | COM | 21,847 | $105.1K | <0.1% | +11,229+105.8% | Added | History |
| NWLNewell Brands Inc. | Stock | 13,365 | $107.3K | <0.1% | +13,365 | New | History |
| AODabrdn Total Dynamic Dividend Fund | COM SH BEN INT | 13,180 | $109.3K | <0.1% | +13,180 | New | History |
| VMOInvesco Municipal Opportunity Trust | COM | 11,637 | $113.2K | <0.1% | +11,637 | New | History |
| BBDCBarings BDC, Inc. | COM | 12,336 | $114.7K | <0.1% | +12,336 | New | History |
| WBDWarner Bros. Discovery, Inc. | Stock | 13,222 | $115.4K | <0.1% | +13,222 | New | History |
| HLNHaleon plc | ADR | 13,998 | $118.8K | <0.1% | +13,998 | New | History |
| VGRVector Group Ltd | COM | 11,146 | $122.2K | <0.1% | +11,146 | New | History |
| First Tr MLP & Energy Incom33739B104 | COM | 12,732 | $123.1K | <0.1% | +266+2.1% | Added | – |
| MPTMedical Properties Trust Inc | COM | 26,789 | $125.9K | <0.1% | +10,849+68.1% | Added | History |
| CRMDCorMedix Inc. | COM | 31,324 | $132.8K | <0.1% | +31,324 | New | History |
| BLEBlackRock Municipal Income Trust II | COM | 12,436 | $135.1K | <0.1% | +12,436 | New | History |
| SCWO374Water Inc. | Common Stock | 108,693 | $137.0K | <0.1% | +32,350+42.4% | Added | History |
| CMLSQCumulus Media Inc | COM CL A | 38,221 | $137.2K | <0.1% | +20,867+120.2% | Added | History |
| EFTEaton Vance Floating-Rate Income Trust | COM | 10,310 | $137.2K | <0.1% | +10,310 | New | History |
| Advisorshares Tr00768Y453 | PURE US CANN ETF | 13,723 | $137.4K | <0.1% | +13,723 | New | – |
| VanEck ETF Trust92189F452 | MORTGAGE REIT | 11,800 | $137.9K | <0.1% | +11,800 | New | – |
| CDECoeur Mining, Inc. | COM NEW | 36,695 | $138.3K | <0.1% | +19,745+116.5% | Added | History |
| FAXAbrdn Asia-Pacific Income Fund, Inc. | COM | 51,040 | $142.9K | <0.1% | +18,350+56.1% | Added | History |
| PDMPiedmont Realty Trust, Inc. | COM CL A | 21,321 | $149.9K | <0.1% | +11,321+113.2% | Added | History |
| RIVNRivian Automotive, Inc. | Stock | 13,719 | $150.2K | <0.1% | +13,719 | New | History |
| Crescent PT Energy Corp22576C101 | COM | 18,831 | $154.2K | <0.1% | −24,169−56.2% | Reduced | – |
| First Tr Exchange-Traded FD33735T109 | COMMON SHS | 13,372 | $158.1K | <0.1% | +2,045+18.1% | Added | – |
| MIYBlackRock Muniyield Michigan Quality Fund, Inc. | COM | 13,771 | $158.5K | <0.1% | +13,771 | New | History |
| ATOMAtomera Inc | COM | 26,600 | $163.9K | <0.1% | +15,000+129.3% | Added | History |
| EZPWEzcorp Inc | CL A NON VTG | 14,473 | $164.0K | <0.1% | +14,473 | New | History |
| NOTVInotiv, Inc. | COM | 15,000 | $164.1K | <0.1% | +15,000 | New | History |
| HRHealthcare Realty Trust Inc | CL A COM | 11,723 | $165.9K | <0.1% | +11,723 | New | History |
| iShares Global Clean Energy ETF464288224 | ETF | 11,911 | $166.5K | <0.1% | +11,911 | New | – |
| XERSXeris Biopharma Holdings, Inc. | COM | 76,550 | $169.2K | <0.1% | +76,550 | New | History |
| GFNew Germany Fund Inc | COM | 19,576 | $170.5K | <0.1% | +129+0.7% | Added | History |
| PCTPureCycle Technologies, Inc. | COM | 28,081 | $174.7K | <0.1% | +28,081 | New | History |
| UWMCUWM Holdings Corp | COM CL A | 24,444 | $177.5K | <0.1% | +24,444 | New | History |
| Prospect Cap Corp74348TAT9 | NOTE 6.375% 3/0 | – | $179.6K | <0.1% | – | – | – |
| GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt Trust | COM | 11,207 | $182.1K | <0.1% | +11,207 | New | History |
| SVCService Properties Trust | COM SH BEN INT | 27,353 | $185.5K | <0.1% | +27,353 | New | History |
| BCXBlackRock Resources & Commodities Strategy Trust | SHS | 20,528 | $186.4K | <0.1% | +20,528 | New | History |
| Invesco Exch TRD SLF Idx FD46138J577 | BULETSHS 2029 | 10,453 | $191.3K | <0.1% | +10,453 | New | – |
| EFREaton Vance Senior Floating-Rate Trust | COM | 14,764 | $192.4K | <0.1% | +14,764 | New | History |
| GLUGabelli Global Utility & Income Trust | COM SH BEN INT | 13,545 | $197.5K | <0.1% | +13,545 | New | History |
| Bondbloxx ETF Trust09789C820 | BLOOMBERG SEVEN | 4,233 | $200.9K | <0.1% | +4,233 | New | – |
| WisdomTree Tr97717X594 | ITL HDG QTLY DIV | 4,376 | $201.1K | <0.1% | +4,376 | New | – |
| EGLEEagle Bulk Shipping Inc. | COM | 3,220 | $201.2K | <0.1% | +3,220 | New | History |
| Pacer Developed Markets International Cash Cows 100 ETF69374H873 | ETF | 6,300 | $201.3K | <0.1% | +6,300 | New | – |
| PIMCO ETF Tr72201R585 | MULTISECTOR BD | 7,817 | $201.4K | <0.1% | +7,817 | New | – |
| TSITCW Strategic Income Fund Inc | COM | 41,951 | $201.8K | <0.1% | +30,090+253.7% | Added | History |
| WisdomTree Tr97717W109 | US TOTAL DIVIDND | 2,859 | $202.3K | <0.1% | +2,859 | New | – |
| ANSSAnsys Inc | COM | 583 | $202.4K | <0.1% | +583 | New | History |
| Invesco Exchange Traded FD T46137V373 | S&P500 EQL STP | 6,161 | $202.9K | <0.1% | +6,161 | New | – |
| iShares Ibonds Dec 2026 Term Muni Bond ETF46435U259 | ETF | 8,040 | $203.8K | <0.1% | +8,040 | New | – |
| OMCOmnicom Group Inc. | COM | 2,112 | $204.4K | <0.1% | +2,112 | New | History |
| Vanguard Emerging Markets Government Bond ETF921946885 | ETF | 3,219 | $205.6K | <0.1% | +3,219 | New | – |
| OXLCOxford Lane Capital Corp. | COM | 40,496 | $205.7K | <0.1% | +15,016+58.9% | Added | History |
| RUMRUM Group Inc. | Stock | 25,472 | $205.8K | <0.1% | +6,099+31.5% | Added | History |
| First Tr Exchng Traded FD VI33740F862 | FT VEST US EQT | 4,807 | $206.1K | <0.1% | −11,605−70.7% | Reduced | – |
| NMAINuveen Multi-Asset Income Fund | COM | 16,572 | $206.2K | <0.1% | +16,572 | New | History |
| PHMPultegroup Inc | COM | 1,709 | $206.2K | <0.1% | +1,709 | New | History |
| NEMNEWMONT Corp | Stock | 5,765 | $206.6K | <0.1% | +5,765 | New | History |
| Trust for Professional Manag89834G729 | ACTIVEPASSIVE US | 6,478 | $209.0K | <0.1% | +6,478 | New | – |
| ASIXAdvanSix Inc. | COM | 7,332 | $209.7K | <0.1% | +7,332 | New | History |
| AMPAmeriprise Financial Inc | COM | 479 | $210.2K | <0.1% | +479 | New | History |
| NTGTortoise Midstream Energy Fund, Inc. | COM | 5,516 | $211.4K | <0.1% | +5,516 | New | History |
| iShares Core MSCI Europe ETF46434V738 | ETF | 3,663 | $211.9K | <0.1% | +3,663 | New | – |
| FSLRFirst Solar, Inc. | Stock | 1,256 | $212.0K | <0.1% | +1,256 | New | History |
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 |