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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q3 2025

Holdings as of Sep 30, 2025, filed Nov 10, 2025. Long positions only; changes compare share counts with Q2 2025.

Institution overview
Positions
1,282
+44 vs. Q2 2025
Portfolio value
$3.52B
+$191.1M (+5.7%) vs. Q2 2025
Filed
Nov 10, 2025
SEC
Holdings of Sigma Planning Corp in Q3 2025
SecurityClassSharesValue% of portfolioShare changeActionHistory
ARK ETF Tr00214Q203AUTNMUS TECHNLGY3,097$345.5K<0.1%−75−2.4%Reduced–
LNTAlliant Energy CorpStock5,132$346.0K<0.1%+15+0.3%AddedHistory
Flexshares Tr33939L688STOX GLB INDEX1,753$346.1K<0.1%+304+21.0%Added–
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG2,658$346.2K<0.1%+717+36.9%Added–
RIOTRiot Platforms, Inc.COM18,198$346.3K<0.1%−3,003−14.2%ReducedHistory
iShares Tr46432F388MSCI USA VALUE2,774$346.9K<0.1%−366−11.7%Reduced–
iShares 1-10 Year U.S. Aggregate Bond ETF464288596ETF3,294$347.0K<0.1%+994+43.2%Added–
IRMIron Mountain IncCOM3,412$348.0K<0.1%−417−10.9%ReducedHistory
PIMCO ETF Tr72201R7830-5 HIGH YIELD3,639$348.2K<0.1%+32+0.9%Added–
SNASnap-on IncCOM1,005$348.4K<0.1%−238−19.1%ReducedHistory
American Centy ETF Tr025072885US EQT ETF3,209$348.8K<0.1%+14+0.4%Added–
NETCloudflare, Inc.CL A COM1,626$348.9K<0.1%−174−9.7%ReducedHistory
Franklin Templeton ETF Tr35473P868FRANKLIN DYN MUN14,119$349.7K<0.1%−2,498−15.0%Reduced–
Schwab U.S. Large-Cap Value ETF808524409ETF12,045$350.6K<0.1%+3,366+38.8%Added–
iShares Tr464288281JPMORGAN USD EMG3,685$350.8K<0.1%+17+0.5%Added–
ODDOddity Tech LtdSHS CL A5,640$351.4K<0.1%+708+14.4%AddedHistory
RGTIRigetti Computing, Inc.COMMON STOCK11,800$351.5K<0.1%−2,043−14.8%ReducedHistory
Invesco Exchange Traded FD T46137V886DWA STAPLES3,203$352.1K<0.1%00.0%Unchanged–
AZNAstraZeneca PLCSPONSORED ADR4,603$353.1K<0.1%+3+0.1%AddedHistory
LQDTLiquidity Services IncCOM12,900$353.8K<0.1%+12,900NewHistory
AESAES CorpStock26,911$354.2K<0.1%+26,911NewHistory
SRESempraStock3,956$356.0K<0.1%−1,843−31.8%ReducedHistory
AZOAutoZone IncCOM83$356.1K<0.1%+9+12.2%AddedHistory
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR28,123$358.9K<0.1%−5,330−15.9%ReducedHistory
iShares Tr46435G839MSCI EAFE SMCP9,563$359.8K<0.1%+9,563New–
Invesco Exchange Traded FD T46137V779BLDG CONSTR ETF3,791$362.4K<0.1%+1,145+43.3%Added–
RBB FD Inc74933W478US TREASRY 12 MT7,261$365.2K<0.1%+125+1.8%Added–
FITBFifth Third BancorpCOM8,199$365.3K<0.1%−298−3.5%ReducedHistory
ELFe.l.f. Beauty, Inc.COM2,758$365.4K<0.1%+934+51.2%AddedHistory
Innovator ETFs Trust45782C433US EQTY BUFR FEB7,765$366.9K<0.1%+19+0.2%Added–
PECOPhillips Edison & Company, Inc.COMMON STOCK10,696$367.2K<0.1%+106+1.0%AddedHistory
State Street SPDR Portfolio Long Term Corporate Bond ETF78464A367ETF15,899$367.6K<0.1%+15,899New–
Franklin Templeton ETF Tr35473P108INTL COR DIV TIL9,859$367.9K<0.1%+3,916+65.9%Added–
UVVUniversal CorpCOM6,596$368.5K<0.1%+537+8.9%AddedHistory
Dimensional ETF Trust25434V666US LARG VALU ETF11,253$370.2K<0.1%+1,406+14.3%Added–
Invesco Exch Traded FD Tr II46138G698S&P 500 REVENUE3,349$370.6K<0.1%+42+1.3%Added–
MSCIMSCI Inc.Stock654$371.1K<0.1%+103+18.7%AddedHistory
HRLHormel Foods CorpCOM15,048$372.3K<0.1%−1,394−8.5%ReducedHistory
First Tr Exchng Traded FD VI33740F573FT VEST INTER EQ14,200$372.8K<0.1%−1,453−9.3%Reduced–
WisdomTree Tr97717W505US MIDCAP DIVID7,136$373.2K<0.1%−415−5.5%Reduced–
LIVELive Ventures IncCOM NEW20,325$373.4K<0.1%+497+2.5%AddedHistory
CHICalamos Convertible Opportunities & Income FundSH BEN INT34,611$373.5K<0.1%−4,144−10.7%ReducedHistory
MPLXMPLX LPCOM UNIT REP LTD7,494$374.3K<0.1%+806+12.1%AddedHistory
First Tr Exchange-Traded FD33739Q804ENERGY INM PARTN14,315$374.6K<0.1%+107+0.8%Added–
IBITiShares Bitcoin Trust ETFETF5,790$376.4K<0.1%+5,790NewHistory
DOVDOVER CorpCOM2,264$377.7K<0.1%+30+1.3%AddedHistory
BROSDutch Bros Inc.CL A7,220$377.9K<0.1%+579+8.7%AddedHistory
SPDR Series Trust78464A821ST STR SP400GRW4,131$378.2K<0.1%−215−4.9%Reduced–
First Tr Exchng Traded FD VI33740F292FT VEST US SMALL16,629$379.2K<0.1%−58−0.3%Reduced–
First Tr Exchng Traded FD VI33740F417FT VEST U.S15,156$379.5K<0.1%−51−0.3%Reduced–
ALLEAllegion plcORD SHS2,143$380.0K<0.1%−81−3.6%ReducedHistory
MKCMcCormick & Co IncStock5,681$380.1K<0.1%−298−5.0%ReducedHistory
EMEEMCOR Group, Inc.Stock586$380.7K<0.1%+25+4.5%AddedHistory
Fidelity Covington Trust316092832DIVID ETF RISI6,498$380.9K<0.1%−535−7.6%Reduced–
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER5,934$381.2K<0.1%+1,223+26.0%Added–
Global X FDS37954Y459RUSSELL 200025,410$382.4K<0.1%−850−3.2%Reduced–
LZBLa-Z-Boy IncCOM11,149$382.7K<0.1%+27+0.2%AddedHistory
iShares Tr464288802ESG OPTIMIZED2,823$382.9K<0.1%−2,249−44.3%Reduced–
Vanguard Total World Stock ETF922042742ETF2,785$383.7K<0.1%+901+47.8%Added–
SBSWSibanye Stillwater LtdSPONSORED ADR34,174$384.1K<0.1%−77,237−69.3%ReducedHistory
Tidal Tr II88636R586RETURN STACKED B18,005$384.3K<0.1%−945−5.0%Reduced–
Invesco Exchange Traded FD T46137V548INTL DIVI ACHI18,186$386.8K<0.1%+4,175+29.8%Added–
ULTAUlta Beauty, Inc.Stock708$386.9K<0.1%+3+0.4%AddedHistory
MELIMercadolibre IncCOM166$387.9K<0.1%−315−65.5%ReducedHistory
Trust for Professional Manag89834G760CONVERGENCE LNG14,905$388.1K<0.1%00.0%Unchanged–
WSMWilliams Sonoma IncCOM1,987$388.4K<0.1%+5+0.3%AddedHistory
PHYSSprott Physical Gold TrustPHYSICAL GOLD TR13,135$389.1K<0.1%−46,780−78.1%ReducedHistory
QBTSD-Wave Quantum Inc.Stock15,769$389.6K<0.1%+15,769NewHistory
Sprott FDS Tr85208P303URANIUM MINERS E6,475$391.3K<0.1%+1,160+21.8%Added–
WPCW. P. Carey Inc.COM5,793$391.4K<0.1%−832−12.6%ReducedHistory
iShares Tr46435G524INTL DIV GRWTH4,917$391.7K<0.1%+387+8.5%Added–
AGIAlamos Gold IncStock11,238$391.7K<0.1%−28,302−71.6%ReducedHistory
Neos ETF Trust78433H675NASDAQ 100 HIGH7,240$392.4K<0.1%+7,240New–
iShares Tr46436E569ESG SELECT SCRE7,621$392.6K<0.1%−596−7.3%Reduced–
State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847ETF6,923$395.9K<0.1%−1,050−13.2%Reduced–
BTIBritish American Tobacco p.l.c.SPONSORED ADR7,507$398.4K<0.1%+528+7.6%AddedHistory
SLBSLB LimitedStock11,604$399.5K<0.1%−152−1.3%ReducedHistory
Vanguard Whitehall FDS921946810INTL DVD ETF4,465$399.9K<0.1%+191+4.5%Added–
ZIMZIM Integrated Shipping Services Ltd.SHS29,528$400.1K<0.1%−3,803−11.4%ReducedHistory
ARK Next Generation Technology ETF00214Q401ETF2,297$401.2K<0.1%+847+58.4%Added–
RDDTReddit, Inc.Stock1,746$401.6K<0.1%−334−16.1%ReducedHistory
TTDTrade Desk, Inc.Stock8,214$402.6K<0.1%−1,396−14.5%ReducedHistory
Vanguard Admiral FDS Inc921932778SMLCP 600 VAL4,233$403.0K<0.1%+29+0.7%Added–
CRWVCoreWeave, Inc.Stock2,948$403.5K<0.1%−4,995−62.9%ReducedHistory
CHDChurch & Dwight Co IncCOM4,615$404.4K<0.1%−112−2.4%ReducedHistory
First Tr Exchange-Traded Alp33734K109COM SHS3,466$404.9K<0.1%+3,466New–
First Tr Exchng Traded FD VI33740F649FT VEST NAS13,109$407.9K<0.1%00.0%Unchanged–
Innovator ETFs Trust45783Y129GROW 100 PWR AUG14,100$408.3K<0.1%+14,100New–
Invesco Exchange Traded FD T46137V597RAFI US 15009,024$409.9K<0.1%+18+0.2%Added–
First Tr Exchng Traded FD VI33740U869FT VEST INT JUNE16,411$411.4K<0.1%−72−0.4%Reduced–
FNVFranco Nevada CorpStock1,849$412.1K<0.1%−377−16.9%ReducedHistory
First Tr Exchng Traded FD VI33740F722FT VEST US EQT7,396$413.8K<0.1%−368−4.7%Reduced–
Dimensional U.S. Small Cap ETF25434V500ETF6,056$414.6K<0.1%+218+3.7%Added–
First Tr Exchng Traded FD VI33740F466FT VEST U.S16,395$415.2K<0.1%−209−1.3%Reduced–
CCSCentury Communities, Inc.COM6,625$419.8K<0.1%00.0%UnchangedHistory
SILASila Realty Trust, Inc.COMMON STOCK16,837$422.6K<0.1%−2,398−12.5%ReducedHistory
MSIMotorola Solutions, Inc.Stock927$423.9K<0.1%+22+2.4%AddedHistory
Fidelity Covington Trust316092360FUN LAR COR ETF8,149$424.1K<0.1%−157−1.9%Reduced–
Listed FDS Tr53656F623HORI KI INFL ETF9,497$424.5K<0.1%+109+1.2%Added–
BEBloom Energy CorpCOM CL A5,025$425.0K<0.1%+5,025NewHistory

Options (8)

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 Q3 2025
SecurityClassPutsCalls
AMATApplied Materials IncStock–$374.8K
UBERUber Technologies, IncStock–$266.0K
AAPLApple Inc.Stock–$237.5K
CNCCentene CorpStock–$178.4K
SPYSPDR S&P 500 ETF TrustETF$128.6K–
FFord Motor CoStock–$114.8K
XRXXerox Holdings CorpCOM NEW$11.4K–
NWLNewell Brands Inc.Stock$1.44K–

Sold out since Q2 2025 (99)

Positions held at the end of Q2 2025 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q2 2025
SecurityClassShares in Q2 2025Value in Q2 2025% of portfolio in Q2 2025History
iShares Inc46434G764MSCI EMRG CHN23,604$1.49M<0.1%–
TGTXTG Therapeutics, Inc.COM35,227$1.27M<0.1%History
iShares Tr46436E833IBONDS 28 TRM TS55,618$1.24M<0.1%–
iShares Ibonds Dec 2028 Term Corporate ETF46435U515ETF48,575$1.23M<0.1%–
iShares Ibonds Dec 2027 Term Corporate ETF46435UAA9ETF50,210$1.22M<0.1%–
PAYPaymentus Holdings, Inc.Stock32,600$1.07M<0.1%History
iShares Ibonds Dec 2026 Term Corporate ETF46435GAA0ETF41,097$996.6K<0.1%–
iShares Tr46436E841IBONDS 27 TRM TS44,256$995.3K<0.1%–
TOSTToast, Inc.Stock20,777$920.2K<0.1%History
iShares Tr46435U333FOCUSD VAL FAC12,046$867.2K<0.1%–
iShares Ibonds 2027 Term High Yield and Income ETF46436E478ETF35,007$789.1K<0.1%–
USOUnited States Oil Fund, LPUNITS10,656$779.0K<0.1%History
MOHMolina Healthcare, Inc.COM2,575$767.1K<0.1%History
RGLDRoyal Gold IncStock4,078$725.3K<0.1%History
VanEck ETF Trust92189F486IG FLOA RATE ETF27,924$712.1K<0.1%–
STTState Street CorpCOM6,542$695.7K<0.1%History
CPRXCatalyst Pharmaceuticals, Inc.COM31,987$694.1K<0.1%History
CARTMaplebear Inc.COM15,046$680.7K<0.1%History
ATATAtour Lifestyle Holdings LtdSPONSORED ADS20,085$653.0K<0.1%History
LBLandBridge Co LLCCL A9,034$610.5K<0.1%History
First Tr Exchange-Traded FD337344105NASDAQ-100 SEL4,337$592.0K<0.1%–
BYDBoyd Gaming CorpCOM7,388$578.0K<0.1%History
RRCRange Resources CorpCOM14,190$577.1K<0.1%History
SPPPSprott Physical Platinum & Palladium TrustPHYSICAL PLATINU48,420$568.0K<0.1%History
PAYCPaycom Software, Inc.Stock2,324$537.9K<0.1%History
OPFIOppFi Inc.COM CL A38,396$537.2K<0.1%History
Fidelity Covington Trust31609A206ENHANCED SML CAP16,247$519.7K<0.1%–
First Tr Exchange-Traded FD33734X119CONSUMR STAPLE8,180$517.6K<0.1%–
TGITriumph Group IncCOM19,400$499.6K<0.1%History
SPDR Series Trust78468R523ST STR BL 12 ETF4,975$494.7K<0.1%–
CPNGCoupang, Inc.CL A16,413$491.7K<0.1%History
Aris Water Solutions, Inc.04041L106CLASS A COM20,642$488.2K<0.1%–
TRUTransUnionCOM5,085$447.5K<0.1%History
iShares Tr464288703MRNING SM CP ETF7,051$432.9K<0.1%–
DAVEDave Inc.CLASS A COM NEW1,582$424.6K<0.1%History
RBLXRoblox CorpStock4,000$420.7K<0.1%History
iShares Tr464287739U.S. REAL ES ETF4,399$416.9K<0.1%–
iShares Tr464288794US BR DEL SE ETF2,291$387.4K<0.1%–
CLBTCellebrite DI Ltd.ORDINARY SHARES24,000$384.0K<0.1%History
CHTRCharter Communications, Inc.CL A935$382.3K<0.1%History
Goldman Sachs ETF Tr381430230ULTR SHOR BD ETF7,509$379.7K<0.1%–
ESTCElastic N.V.ORD SHS4,471$377.0K<0.1%History
CNQCanadian Natural Resources LtdCOM11,761$369.3K<0.1%History
VRSKVerisk Analytics, Inc.COM1,174$365.8K<0.1%History
BKRBaker Hughes CoCL A9,354$358.6K<0.1%History
FLOCFlowco Holdings Inc.COM CL A20,000$356.2K<0.1%History
PENPenumbra IncCOM1,328$340.8K<0.1%History
PPCPilgrims Pride CorpStock7,233$325.3K<0.1%History
BXSLBlackstone Secured Lending FundCOMMON STOCK10,482$322.3K<0.1%History
American Centy ETF Tr025072505DIVERSIFIED MU6,585$322.2K<0.1%–
iShares Tr464288208MRGSTR MD CP ETF3,911$311.6K<0.1%–
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR6,138$307.8K<0.1%–
CROXCrocs, Inc.COM2,974$301.2K<0.1%History
Sprott FDS Tr85208P808JUNIOR URANIUM14,234$300.8K<0.1%–
Golden Ocean Group LtdG39637205SHS NEW40,964$299.9K<0.1%–
CDECoeur Mining, Inc.COM NEW33,598$297.7K<0.1%History
NXTNextpower Inc.Stock5,326$289.6K<0.1%History
ALHCAlignment Healthcare, Inc.COM20,070$281.0K<0.1%History
AALAmerican Airlines Group Inc.Stock24,035$269.7K<0.1%History
DUOLDuolingo, Inc.CL A COM648$265.7K<0.1%History
LULUlululemon athletica inc.Stock1,099$261.2K<0.1%History
HUMHumana IncStock1,044$255.3K<0.1%History
IMOImperial Oil LtdCOM NEW3,208$255.0K<0.1%History
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM9,350$240.8K<0.1%History
iShares Tr46435U432IBONDS DEC 258,945$239.4K<0.1%–
iShares Tr46438G612LARG CAP JUN ETF8,687$239.0K<0.1%–
ZBHZimmer Biomet Holdings, Inc.Stock2,612$238.3K<0.1%History
WHRWhirlpool CorpStock2,347$238.0K<0.1%History
Innovator U.S. Equity Power Buffer ETF - October45782C797ETF5,757$237.8K<0.1%–
INGRIngredion IncCOM1,751$237.5K<0.1%History
SPDR Series Trust78468R531SPDR S&P 500 ESG4,029$235.9K<0.1%–
VanEck ETF Trust92189H748CLO ETF4,398$232.9K<0.1%–
Pacer Lunt Large Cap Multi-Factor Alternator ETF69374H816ETF4,675$231.0K<0.1%–
CHKPCheck Point Software Technologies LtdORD1,042$230.6K<0.1%History
Direxion Shares ETF Trust25459Y207NASDAQ 100 EQ WT2,322$228.3K<0.1%–
Innovator ETFs Trust45782C334GRWT100 PWR BF4,459$227.5K<0.1%–
LOARLoar Holdings Inc.COM SHS2,637$227.2K<0.1%History
MTZMastec IncCOM1,333$227.2K<0.1%History
Innovator ETFs Trust45782C318US EQTY PWR BUF5,995$226.5K<0.1%–
BJBJ's Wholesale Club Holdings, Inc.COM2,095$225.9K<0.1%History
iShares Tr4642886613 7 YR TREAS BD1,894$225.5K<0.1%–
PBAPembina Pipeline CorpCOM5,862$219.9K<0.1%History
First Tr Exchange-Traded FD33738D838INTER GOVT ETF10,840$218.4K<0.1%–
CAVACava Group, Inc.COM2,589$218.0K<0.1%History
ODFLOld Dominion Freight Line, Inc.COM1,321$214.4K<0.1%History
GNRCGenerac Holdings Inc.Stock1,474$211.1K<0.1%History
First Tr Exchng Traded FD VI33740F797ACTV FCTR SMCP6,947$207.6K<0.1%–
CAGConagra Brands Inc.Stock10,124$207.2K<0.1%History
Pacer Trendpilot US Mid Cap ETF69374H204ETF5,897$205.7K<0.1%–
WENWendy's CoStock18,004$205.6K<0.1%History
OGEOGE Energy Corp.COM4,591$203.7K<0.1%History
HLHecla Mining CoCOM31,598$189.3K<0.1%History
BBBLACKBERRY LtdCOM24,327$111.4K<0.1%History
UWMCUWM Holdings CorpCOM CL A24,198$100.2K<0.1%History
NTLAIntellia Therapeutics, Inc.COM10,616$99.6K<0.1%History
PLGPlatinum Group Metals LtdCOM32,500$49.7K<0.1%History
XERSXeris Biopharma Holdings, Inc.COM10,050$46.9K<0.1%History
LCIDLucid Group, Inc.COM15,280$32.2K<0.1%History
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20210,218$344<0.1%History