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 |
|---|---|---|---|---|---|---|---|
| METMetlife Inc | Stock | 2,876 | $213.2K | <0.1% | +2,876 | New | History |
| iShares U.S. Treasury Bond ETF46429B267 | ETF | 9,363 | $213.2K | <0.1% | +9,363 | New | – |
| Great Ajax Corp38983D409 | 7.25 CV SR NT 24 | 8,586 | $213.9K | <0.1% | +8,586 | New | – |
| RIORio Tinto PLC | ADR | 3,357 | $214.0K | <0.1% | +605+22.0% | Added | History |
| TXRHTexas Roadhouse, Inc. | COM | 1,387 | $214.3K | <0.1% | +1,387 | New | History |
| iShares Flexible Income Active ETF092528603 | ETF | 4,090 | $214.6K | <0.1% | +4,090 | New | – |
| Invesco Exchange Traded FD T46137V597 | RAFI US 1500 | 5,476 | $215.1K | <0.1% | +5,476 | New | – |
| OVVOvintiv Inc. | COM | 4,155 | $215.7K | <0.1% | +4,155 | New | History |
| INGRIngredion Inc | COM | 1,847 | $215.9K | <0.1% | +1,847 | New | History |
| iShares Tr464288562 | RESIDENTIAL MULT | 3,003 | $216.4K | <0.1% | −912−23.3% | Reduced | – |
| First Tr Exch Traded FD III33739P830 | SHRT DUR MNG MUN | 10,943 | $217.1K | <0.1% | −2,754−20.1% | Reduced | – |
| DXCMDexcom Inc | COM | 1,569 | $217.7K | <0.1% | +1,569 | New | History |
| SYBTStock Yards Bancorp, Inc. | COM | 4,455 | $217.9K | <0.1% | +4,455 | New | History |
| Fidelity Merrimack STR Tr316188200 | LTD TRM BD ETF | 4,447 | $218.1K | <0.1% | −15,810−78.0% | Reduced | – |
| GNLGlobal Net Lease, Inc. | COM NEW | 28,078 | $218.2K | <0.1% | +14,186+102.1% | Added | History |
| BUIBlackRock Utilities, Infrastructure & Power Opportunities Trust | COM | 10,120 | $218.3K | <0.1% | +10,120 | New | History |
| NVTnVent Electric plc | SHS | 2,907 | $219.3K | <0.1% | +2,907 | New | History |
| Etfis Ser Tr I26923G772 | INFRAC ACT MLP | 5,359 | $220.8K | <0.1% | +5,359 | New | – |
| CHTRCharter Communications, Inc. | CL A | 760 | $221.2K | <0.1% | +760 | New | History |
| CNCCentene Corp | Stock | 2,822 | $221.5K | <0.1% | +2,822 | New | History |
| ASHAshland Inc. | COM | 2,277 | $221.7K | <0.1% | +2,277 | New | History |
| iShares Tr46429B408 | MSCI PHILIPS ETF | 8,038 | $222.1K | <0.1% | +8,038 | New | – |
| iShares Tr464288737 | GLB CNSM STP ETF | 3,641 | $222.3K | <0.1% | +3,641 | New | – |
| iShares Esg Aware US Aggregate Bond ETF46435U549 | ETF | 4,736 | $222.9K | <0.1% | +4,736 | New | – |
| First Tr Exchng Traded FD VI33740F425 | FT VEST U.S | 6,739 | $224.1K | <0.1% | +6,739 | New | – |
| UTFCohen & Steers Infrastructure Fund Inc | COM | 9,531 | $224.7K | <0.1% | +9,531 | New | History |
| RBB FD Inc74933W486 | US TREASY 2 YR | 4,679 | $225.0K | <0.1% | +4,679 | New | – |
| SYMSymbotic Inc. | Stock | 5,015 | $225.7K | <0.1% | +5,015 | New | History |
| ARK Next Generation Technology ETF00214Q401 | ETF | 2,709 | $225.7K | <0.1% | +2,709 | New | – |
| Innovator ETFs Trust45783Y343 | INNOVATOR INTL D | 8,800 | $226.6K | <0.1% | +8,800 | New | – |
| Flagstar Bank, National Association649445103 | COM | 70,359 | $226.6K | <0.1% | +6,164+9.6% | Added | – |
| iShares Tr46435U432 | IBONDS DEC 25 | 8,599 | $227.5K | <0.1% | +8,599 | New | – |
| LTCLTC Properties Inc | REIT | 7,010 | $227.9K | <0.1% | +7,010 | New | History |
| NEUNewmarket Corp | COM | 359 | $228.0K | <0.1% | +359 | New | History |
| iShares Tr464288372 | GLB INFRASTR ETF | 4,797 | $228.5K | <0.1% | +4,797 | New | – |
| First Tr Exchng Traded FD VI33740U844 | FT VEST U.S | 6,323 | $229.0K | <0.1% | +6,323 | New | – |
| Innovator ETFs Trust45782C276 | GRWT100 PWR BUF | 3,975 | $229.2K | <0.1% | +3,975 | New | – |
| Vanguard Scottsdale FDS92206C664 | VNG RUS2000IDX | 2,698 | $229.6K | <0.1% | +2,698 | New | – |
| First Tr Exchange Trad FD VI33739H101 | FST TR GLB FD | 9,681 | $229.6K | <0.1% | +9,681 | New | – |
| iShares Tr464288612 | INTRM GOV CR ETF | 2,213 | $230.1K | <0.1% | +2,213 | New | – |
| Amplify ETF Tr032108649 | AMPLIFY JUNIOR S | 23,176 | $230.1K | <0.1% | +23,176 | New | – |
| CHDNChurchill Downs Inc | COM | 1,860 | $230.2K | <0.1% | +1,860 | New | History |
| EIXEdison International | Stock | 3,262 | $230.8K | <0.1% | +3,262 | New | History |
| Invesco Exchange Traded FD T46137V266 | S&P500 PUR GWT | 6,302 | $231.4K | <0.1% | +6,302 | New | – |
| State Street SPDR S&P Regional Banking ETF78464A698 | ETF | 4,605 | $231.6K | <0.1% | +4,605 | New | – |
| ALLEAllegion plc | ORD SHS | 1,723 | $232.1K | <0.1% | +1,723 | New | History |
| APAMArtisan Partners Asset Management Inc. | CL A | 5,075 | $232.3K | <0.1% | −16,295−76.3% | Reduced | History |
| WTRGEssential Utilities, Inc. | COM | 6,293 | $233.2K | <0.1% | +851+15.6% | Added | History |
| VVVValvoline Inc | COM | 5,270 | $234.9K | <0.1% | +5,270 | New | History |
| HIGHartford Insurance Group, Inc. | Stock | 2,282 | $235.2K | <0.1% | +2,282 | New | History |
| RBARB Global Inc. | COM | 3,089 | $235.3K | <0.1% | +3,089 | New | History |
| ETJEaton Vance Risk-Managed Diversified Equity Income Fund | COM | 28,286 | $236.2K | <0.1% | +28,286 | New | History |
| LTRNLantern Pharma Inc. | COM | 26,850 | $236.3K | <0.1% | +14,975+126.1% | Added | History |
| ZSZscaler, Inc. | Stock | 1,227 | $236.5K | <0.1% | +1,227 | New | History |
| ETSYEtsy Inc | COM | 3,446 | $236.8K | <0.1% | +129+3.9% | Added | History |
| First Tr Exchng Traded FD VI33740U687 | FT VEST U.S EQT | 7,200 | $237.3K | <0.1% | +7,200 | New | – |
| Global X FDS37960A651 | SUPERDVDND REIT | 11,615 | $237.4K | <0.1% | +11,615 | New | – |
| Simplify Exchange Traded Fun82889N632 | ENHANCED INM ETF | 9,732 | $237.5K | <0.1% | +9,732 | New | – |
| First Tr Exchange-Traded FD33734X168 | MATERIALS ALPH | 3,332 | $237.8K | <0.1% | +3,332 | New | – |
| ETREntergy Corp | COM | 2,276 | $240.6K | <0.1% | +2,276 | New | History |
| iShares Tr46434V381 | FUTU EXPO TE ETF | 4,038 | $240.8K | <0.1% | +299+8.0% | Added | – |
| ALLYAlly Financial Inc. | Stock | 5,950 | $241.5K | <0.1% | +5,950 | New | History |
| PPLPPL Corp | COM | 8,774 | $241.6K | <0.1% | +8,774 | New | History |
| FTITechnipFMC plc | COM | 9,635 | $241.9K | <0.1% | +9,635 | New | History |
| Invesco Exch Traded FD Tr II46138E784 | EMRNG MKT SVRG | 11,827 | $242.0K | <0.1% | +11,827 | New | – |
| Fidelity Merrimack STR Tr316188101 | CORP BOND ETF | 5,215 | $242.5K | <0.1% | +5,215 | New | – |
| NEANuveen AMT-Free Quality Municipal Income Fund | COM | 21,973 | $243.2K | <0.1% | +10,921+98.8% | Added | History |
| First Tr Exchange Traded FD33741L108 | DORSY WR MOMNT | 7,975 | $243.7K | <0.1% | +7,975 | New | – |
| Goldman Sachs ETF Tr381430503 | ACTIVEBETA US LG | 2,352 | $244.1K | <0.1% | +2,352 | New | – |
| Global X FDS37954Y848 | GLOBAL X SILVER | 8,901 | $244.4K | <0.1% | +8,901 | New | – |
| WSTWest Pharmaceutical Services Inc | COM | 621 | $245.8K | <0.1% | +621 | New | History |
| CQPCheniere Energy Partners, L.P. | COM UNIT | 4,999 | $246.9K | <0.1% | +4,999 | New | History |
| BROSDutch Bros Inc. | CL A | 7,497 | $247.4K | <0.1% | +7,497 | New | History |
| Fidelity Covington Trust316092790 | QLTY FCTOR ETF | 4,199 | $247.5K | <0.1% | +175+4.3% | Added | – |
| INTSIntensity Therapeutics, Inc. | COM | 47,869 | $248.9K | <0.1% | +13,426+39.0% | Added | History |
| RIVRivernorth Opportunities Fund, Inc. | COM | 20,725 | $249.5K | <0.1% | −2,606−11.2% | Reduced | History |
| Invesco Exch Traded FD Tr II46138E537 | NATL AMT MUNI | 10,479 | $249.7K | <0.1% | +10,479 | New | – |
| FLNGFlex LNG Ltd. | SHS | 9,852 | $250.6K | <0.1% | +1,752+21.6% | Added | History |
| BTIBritish American Tobacco p.l.c. | SPONSORED ADR | 8,244 | $251.5K | <0.1% | +95+1.2% | Added | History |
| MLMMartin Marietta Materials Inc | COM | 409 | $251.6K | <0.1% | +409 | New | History |
| WELLWelltower Inc. | REIT | 2,694 | $251.8K | <0.1% | +2,694 | New | History |
| iShares Tr464287192 | US TRSPRTION | 3,577 | $251.8K | <0.1% | +3,577 | New | – |
| ELFe.l.f. Beauty, Inc. | COM | 1,285 | $251.9K | <0.1% | +1,285 | New | History |
| Invesco Exch Traded FD Tr II46138E198 | S&P MIDCP LOW | 4,473 | $252.3K | <0.1% | +4,473 | New | – |
| Doubleline ETF Trust25861R105 | OPPO CORE BD ETF | 5,530 | $253.8K | <0.1% | +5,530 | New | – |
| BIPBrookfield Infrastructure Partners L.P. | LP INT UNIT | 8,158 | $254.6K | <0.1% | +8,158 | New | History |
| SPDR Series Trust78468R861 | STATE STRET SPDR | 13,735 | $256.0K | <0.1% | +3,306+31.7% | Added | – |
| Cambria ETF Tr132061300 | CAMBRIA FGN SHR | 9,490 | $256.4K | <0.1% | +9,490 | New | – |
| Simplify Exchange Traded Fun82889N723 | AGGREGATE BD ETF | 11,991 | $257.0K | <0.1% | +11,991 | New | – |
| Invesco Exchange Traded FD T46137V274 | S&P500 EQL UTL | 4,554 | $257.7K | <0.1% | +4,554 | New | – |
| iShares Tr464287812 | US CONSM STAPLES | 3,816 | $258.1K | <0.1% | +3,816 | New | – |
| ETF Ser Solutions26922A172 | NATIONWIDE RSK | 10,933 | $258.1K | <0.1% | +10,933 | New | – |
| First Tr Exchng Traded FD VI33740F847 | FT VEST US EQT | 5,775 | $258.4K | <0.1% | +5,775 | New | – |
| LYBLyondellBasell Industries N.V. | SHS - A - | 2,547 | $260.5K | <0.1% | +2,547 | New | History |
| RBLXRoblox Corp | Stock | 6,835 | $261.0K | <0.1% | −25−0.4% | Reduced | History |
| First Tr Exchng Traded FD VI33740U786 | FT VEST U.S | 7,411 | $261.3K | <0.1% | +7,411 | New | – |
| BCEBce Inc | COM NEW | 7,695 | $261.5K | <0.1% | +7,695 | New | History |
| iShares Tr46435U697 | IBONDS DEC | 10,085 | $261.7K | <0.1% | +10,085 | New | – |
| WisdomTree Tr97717Y683 | ENHNCD CMMDTY ST | 14,243 | $262.5K | <0.1% | +14,243 | New | – |
| SPDR Series Trust78464A284 | ST NUVE HIGH ETF | 10,220 | $262.6K | <0.1% | +10,220 | New | – |
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 |