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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q4 2025

Holdings as of Dec 31, 2025, filed Jan 30, 2026. Long positions only; changes compare share counts with Q3 2025.

Institution overview
Positions
1,287
+5 vs. Q3 2025
Portfolio value
$3.62B
+$105.6M (+3.0%) vs. Q3 2025
Filed
Jan 30, 2026
SEC
Holdings of Sigma Planning Corp in Q4 2025
SecurityClassSharesValue% of portfolioShare changeActionHistory
CUECue Biopharma, Inc.COM41,050$12.5K<0.1%−12,250−23.0%ReducedHistory
ATOSAtossa Therapeutics, Inc.COM24,000$14.2K<0.1%00.0%UnchangedHistory
CLOVClover Health Investments, Corp.COM CL A11,124$19.1K<0.1%−7,600−40.6%ReducedHistory
OPKOpko Health, Inc.COM15,807$19.9K<0.1%00.0%UnchangedHistory
INTSIntensity Therapeutics, Inc.COM56,432$23.1K<0.1%−12,735−18.4%ReducedHistory
IBRXImmunityBio, Inc.COM17,000$33.7K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM21,011$37.0K<0.1%00.0%UnchangedHistory
BLDPBallard Power Systems Inc.COM15,093$38.3K<0.1%−96−0.6%ReducedHistory
RCReady Capital CorpCOM18,461$38.9K<0.1%−1,450−7.3%ReducedHistory
GLDGGoldMining Inc.COM37,500$46.9K<0.1%+37,500NewHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM12,704$47.1K<0.1%−4,928−27.9%ReducedHistory
PLUGPlug Power IncStock24,683$48.5K<0.1%−2,202−8.2%ReducedHistory
STGWStagwell IncCOM CL A10,346$50.6K<0.1%−3,654−26.1%ReducedHistory
SBSafe Bulkers, Inc.COM11,652$56.2K<0.1%−223−1.9%ReducedHistory
GGBGerdau S.A.SPON ADR REP PFD17,325$63.9K<0.1%+73+0.4%AddedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT16,728$64.2K<0.1%−63−0.4%ReducedHistory
BBDBank BradescoSP ADR PFD NEW19,477$66.2K<0.1%+14+0.1%AddedHistory
BBAIBigBear.ai Holdings, Inc.COM12,600$68.0K<0.1%−3,500−21.7%ReducedHistory
XFLTXAI Floating Rate & Alternative Income TrustCOM12,641$72.2K<0.1%+12,641NewHistory
NATNordic American Tankers LtdCOM22,759$78.3K<0.1%−8,015−26.0%ReducedHistory
GABGabelli Equity Trust IncCOM13,047$80.5K<0.1%+53+0.4%AddedHistory
XRXXerox Holdings CorpCOM NEW36,344$86.2K<0.1%+7,978+28.1%AddedHistory
IGRCbre Global Real Estate Income FundCOM19,920$87.2K<0.1%−42−0.2%ReducedHistory
CIKCredit Suisse Asset Management Income Fund, Inc.COM31,435$89.0K<0.1%00.0%UnchangedHistory
MPTMedical Properties Trust IncCOM18,277$91.4K<0.1%−475−2.5%ReducedHistory
SCWO374Water Inc.COM45,353$92.5K<0.1%+11,764+35.0%AddedConverted for a 1-for-10 splitHistory
TWITitan International IncCOM12,069$94.5K<0.1%00.0%UnchangedHistory
BTGB2GOLD CorpCOM21,000$94.7K<0.1%−4,700−18.3%ReducedHistory
PFLTPennantPark Floating Rate Capital Ltd.COM10,495$97.3K<0.1%00.0%UnchangedHistory
WUWestern Union COStock10,473$97.5K<0.1%−37−0.4%ReducedHistory
PSECProspect Capital CorpCOM37,925$98.2K<0.1%−1,108−2.8%ReducedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,900$101.5K<0.1%+426+4.1%AddedHistory
SERVServe Robotics Inc.COM10,146$105.3K<0.1%+10,146NewHistory
MARAMARA Holdings, Inc.COM11,924$107.1K<0.1%+1,320+12.4%AddedHistory
EFTEaton Vance Floating-Rate Income TrustCOM10,034$113.3K<0.1%+28+0.3%AddedHistory
RCATRed Cat Holdings, Inc.Stock14,834$117.6K<0.1%00.0%UnchangedHistory
CXCemex SAB de CVSPON ADR NEW10,252$117.8K<0.1%+10,252NewHistory
FLOFlowers Foods IncCOM11,066$120.4K<0.1%+11,066NewHistory
Invesco Exch TRD SLF Idx FD46138J791BULSHS 2026 CB15,868$123.4K<0.1%−33−0.2%Reduced–
CLSKCleanspark, Inc.COM NEW12,333$124.8K<0.1%−425−3.3%ReducedHistory
NOKNokia CorpSPONSORED ADR19,869$128.5K<0.1%+19,869NewHistory
GNLGlobal Net Lease, Inc.COM NEW15,067$129.6K<0.1%−365−2.4%ReducedHistory
RDWRedwire CorpStock17,079$129.8K<0.1%+5,715+50.3%AddedHistory
RQICohen & Steers Quality Income Realty Fund IncCEF12,041$137.8K<0.1%−771−6.0%ReducedHistory
PBR.APetrobras - Petroleo Brasileiro SASP ADR NON VTG12,800$144.3K<0.1%−1,900−12.9%ReducedHistory
UNGUnited States Natural Gas Fund, LPETF11,926$146.2K<0.1%+11,926NewHistory
BEATHeartBeam, Inc.COM61,650$148.0K<0.1%+19,250+45.4%AddedHistory
SMRNuscale Power CorpCL A COM10,867$152.6K<0.1%−6,928−38.9%ReducedHistory
HAFNHafnia LtdCOMMON STOCK28,800$153.5K<0.1%+1,200+4.3%AddedHistory
BHVNBiohaven Ltd.COM13,613$153.7K<0.1%+1,146+9.2%AddedHistory
CLFCleveland-Cliffs Inc.COM12,063$160.2K<0.1%−407−3.3%ReducedHistory
EFREaton Vance Senior Floating-Rate TrustCOM14,427$160.7K<0.1%+50.0%AddedHistory
AURAurora Innovation, Inc.CLASS A COM42,378$162.7K<0.1%−4,628−9.8%ReducedHistory
LANDGladstone Land CorpCOM17,826$163.1K<0.1%+1,161+7.0%AddedHistory
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM10,637$163.2K<0.1%+10,637NewHistory
CIMChimera Investment CorpCOM SHS14,189$176.4K<0.1%−85−0.6%ReducedHistory
FLGFlagstar Bank, National AssociationStock14,056$177.0K<0.1%−2,269−13.9%ReducedHistory
LUNRIntuitive Machines, Inc.CLASS A COM10,947$177.7K<0.1%+886+8.8%AddedHistory
NWLNewell Brands Inc.Stock48,100$179.0K<0.1%+7,130+17.4%AddedHistory
Global X FDS37950E291GLOBX SUPDV US10,665$184.7K<0.1%+156+1.5%Added–
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF12,809$192.3K<0.1%+12,809New–
DOCHealthpeak Properties, Inc.COM12,222$196.5K<0.1%−1,987−14.0%ReducedHistory
First Tr Exchng Traded FD VI33740U729FT VEST LAD18,811$198.8K<0.1%+6,308+50.5%Added–
Innovator ETFs Trust45782C565US EQTY ULTRA BU5,275$200.7K<0.1%+5,275New–
Invesco Actively Managed Exc46090A689QQQ INC ADV ETF3,786$200.8K<0.1%+3,786New–
Fidelity Covington Trust316092113ENHANCED LARGE5,270$201.2K<0.1%+5,270New–
Simplify Exchange Traded Fun82889N723AGGREGATE BD ETF9,737$201.6K<0.1%+9,737New–
ODFLOld Dominion Freight Line, Inc.COM1,287$201.8K<0.1%+1,287NewHistory
Bitwise Crypto Industry Innovators ETF09175C103ETF10,143$202.2K<0.1%+10,143New–
TPLTexas Pacific Land CorpStock635$204.5K<0.1%−205−24.4%ReducedConverted for a 3-for-1 splitHistory
UECUranium Energy CorpCOM17,510$204.5K<0.1%−4,395−20.1%ReducedHistory
iShares Tr46436E767ESG MSCI USA ETF3,572$205.7K<0.1%−910−20.3%Reduced–
Wedbush Ser Tr947913109DAN IVE REVO ETF6,512$205.9K<0.1%+6,512New–
JPCNuveen Preferred & Income Opportunities FundCOM25,398$206.0K<0.1%−15−0.1%ReducedHistory
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF854$206.1K<0.1%+854New–
DHIHorton D R IncCOM1,435$206.6K<0.1%−7−0.5%ReducedHistory
XYLXylem Inc.COM1,538$206.7K<0.1%+1,538NewHistory
TSITCW Strategic Income Fund IncCOM41,952$207.2K<0.1%00.0%UnchangedHistory
Amplify ETF Tr032108664AMPLIFY CYBERSEC2,580$207.3K<0.1%−258−9.1%Reduced–
BTCGrayscale Bitcoin Mini Trust ETFETF5,357$207.5K<0.1%+5,357NewHistory
MLMMartin Marietta Materials IncCOM334$207.7K<0.1%+334NewHistory
Fidelity Covington Trust316092857MSCI RL EST ETF7,785$209.3K<0.1%−1,916−19.8%Reduced–
ONBOld National BancorpStock9,400$209.7K<0.1%+40.0%AddedHistory
Etfis Ser Tr I26923G707VIRTUS NEWFLEET9,147$210.6K<0.1%+9,147New–
AEEAmeren CorpCOM2,111$210.8K<0.1%−10,633−83.4%ReducedHistory
AMPAmeriprise Financial IncCOM430$210.9K<0.1%−5−1.1%ReducedHistory
iShares Tr464288752US HOME CONS ETF2,192$211.1K<0.1%−184−7.7%Reduced–
RIORio Tinto PLCADR2,638$211.1K<0.1%+2,638NewHistory
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG9,750$211.2K<0.1%00.0%Unchanged–
SPDR Series Trust78468R408ST TERM HIGH ETF8,346$211.3K<0.1%−218−2.5%Reduced–
First Tr Exchng Traded FD VI33740F466FT VEST U.S8,149$211.6K<0.1%−8,246−50.3%Reduced–
TDGTransDigm Group INCCOM159$211.9K<0.1%+159NewHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM18,234$212.1K<0.1%−713−3.8%ReducedHistory
Ssga Active Tr78470P408STATE STREET US3,405$212.2K<0.1%+3,405New–
AGNTAGNT, Inc.COM23,459$212.3K<0.1%−893−3.7%ReducedHistory
Abrdn ETFs003261104BBRG ALL COMD K110,881$212.5K<0.1%+1,015+10.3%Added–
First Tr Exchng Traded FD VI33740U869FT VEST INT JUNE8,304$212.9K<0.1%−8,107−49.4%Reduced–
VanEck ETF Trust92189F452MORTGAGE REIT20,288$213.2K<0.1%+2,988+17.3%Added–
Bondbloxx ETF Trust09789C853BLOOMBERG TWO YR4,311$213.3K<0.1%−956−18.2%Reduced–
EOGEOG Resources IncStock2,035$213.7K<0.1%−88−4.1%ReducedHistory

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 Q4 2025
SecurityClassPutsCalls
NVDANVIDIA CorpStock–$243.9K
CNCCentene CorpStock–$234.0K
FFord Motor CoStock–$149.7K
SPYSPDR S&P 500 ETF TrustETF$88.6K–
XRXXerox Holdings CorpCOM NEW$4.43K–
UBERUber Technologies, IncStock–$4.37K
NWLNewell Brands Inc.Stock$3.93K–
AIC3.ai, Inc.Stock–$3.20K

Sold out since Q3 2025 (118)

Positions held at the end of Q3 2025 that are gone from this filing.

The largest 100 of 118 by value last quarter.

Positions of Sigma Planning Corp sold out since Q3 2025
SecurityClassShares in Q3 2025Value in Q3 2025% of portfolio in Q3 2025History
Invesco Exch TRD SLF Idx FD46138J825BULSHS 2025 CB83,903$1.74M<0.1%–
Innovator ETFs Trust45783Y285INTL DE PW JUNE54,690$1.55M<0.1%–
J P Morgan Exchange Traded F46654Q609ACTIVE GROWTH14,593$1.37M<0.1%–
KKellanovaStock15,921$1.31M<0.1%History
iShares Ibonds Dec 2025 Term Corporate ETF46434VBD1ETF45,486$1.15M<0.1%–
FCFSFirstCash Holdings, Inc.COM7,229$1.15M<0.1%History
AMBAAmbarella IncSHS13,819$1.14M<0.1%History
AGXArgan IncStock4,196$1.13M<0.1%History
OUSTOuster, Inc.COM NEW41,394$1.12M<0.1%History
First Tr Exch TRD Alphdx FD33737J141CHINA ALPHADEX38,500$1.12M<0.1%–
ROADConstruction Partners, Inc.COM CL A7,890$1.00M<0.1%History
TWTradeweb Markets Inc.Stock8,921$990.1K<0.1%History
LRNStride, Inc.COM6,506$969.0K<0.1%History
Vanguard Scottsdale FDS92206C623VNG RUS2000GRW4,015$938.5K<0.1%–
VITLVital Farms, Inc.COM22,651$932.1K<0.1%History
MDGLMadrigal Pharmaceuticals, Inc.COM2,000$917.3K<0.1%History
ULUnilever PLCSPON ADR NEW15,164$898.9K<0.1%History
UIUbiquiti Inc.COM1,357$896.4K<0.1%History
Innovator ETFs Trust45782C730US EQT ULTRA BF23,927$877.9K<0.1%–
Fidelity Covington Trust316092378FIDELITY US MLTF22,345$859.2K<0.1%–
RBRKRubrik, Inc.Stock10,194$838.4K<0.1%History
Innovator ETFs Trust45783Y269INNOVATOR GW 10026,007$801.0K<0.1%–
Innovator ETFs Trust45784N759US SMALL CAP PWR28,563$794.1K<0.1%–
RACEFerrari N.V.COM1,629$790.2K<0.1%History
RLRalph Lauren CorpCL A2,520$790.2K<0.1%History
IBPInstalled Building Products, Inc.COM3,166$781.0K<0.1%History
NTESNetEase, Inc.SPONSORED ADS5,011$761.6K<0.1%History
CVLTCommvault Systems IncCOM4,009$756.8K<0.1%History
FFIVF5, Inc.Stock2,341$756.6K<0.1%History
MCHPMicrochip Technology IncStock11,770$755.9K<0.1%History
PGYPagaya Technologies Ltd.CL A NEW25,450$755.6K<0.1%History
MWAMueller Water Products, Inc.COM SER A29,214$745.5K<0.1%History
FISVFiserv IncStock5,759$742.5K<0.1%History
DEODiageo PLCSPON ADR NEW7,440$710.0K<0.1%History
LIFLife360, Inc.COM6,675$709.6K<0.1%History
LMNDLemonade, Inc.Stock13,125$702.6K<0.1%History
First Tr Exchng Traded FD VI33740F441FT VEST U.S EQT17,148$694.0K<0.1%–
First Tr Exchange-Traded FD33738D606LNG DUR OPRTUN31,864$693.0K<0.1%–
PODDInsulet CorpStock2,212$682.9K<0.1%History
POOLPool CorpCOM2,193$680.0K<0.1%History
AMSCAmerican Superconductor CorpStock10,293$611.3K<0.1%History
First Tr Exchange Traded FD33738R845NASDQ OIL GAS21,301$606.2K<0.1%–
First Tr Exchange-Traded FD33733E807NAT GAS ETF25,344$595.3K<0.1%–
ASAmer Sports, Inc.COM SHS17,060$592.8K<0.1%History
HNGEHinge Health, Inc.CL A11,855$581.8K<0.1%History
CVSACovista Inc.COM3,762$581.0K<0.1%History
EXPEExpedia Group, Inc.Stock2,591$553.9K<0.1%History
DXPEDXP Enterprises IncCOM NEW4,483$533.8K<0.1%History
GWREGuidewire Software, Inc.COM2,151$494.4K<0.1%History
USFDUS Foods Holding Corp.COM6,422$492.1K<0.1%History
First Tr Exch TRD Alphdx FD33737J174DEV MRK EX US6,426$484.3K<0.1%–
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY9,666$470.7K<0.1%–
First Tr Exch Traded FD III33740J104ULTRA SHT DUR MU23,352$469.4K<0.1%–
OPRXOptimizeRx CorpCOM NEW22,298$457.1K<0.1%History
iShares Ibonds 2025 Term High Yield & Income ETF46435U168ETF19,439$451.4K<0.1%–
TTANServiceTitan, Inc.SHS CL A4,434$447.1K<0.1%History
BEBloom Energy CorpCOM CL A5,025$425.0K<0.1%History
Innovator ETFs Trust45783Y129GROW 100 PWR AUG14,100$408.3K<0.1%–
TTDTrade Desk, Inc.Stock8,214$402.6K<0.1%History
First Tr Exchng Traded FD VI33740F417FT VEST U.S15,156$379.5K<0.1%–
First Tr Exchng Traded FD VI33740F292FT VEST US SMALL16,629$379.2K<0.1%–
First Tr Exchng Traded FD VI33740F573FT VEST INTER EQ14,200$372.8K<0.1%–
Dimensional ETF Trust25434V666US LARG VALU ETF11,253$370.2K<0.1%–
ELFe.l.f. Beauty, Inc.COM2,758$365.4K<0.1%History
American Centy ETF Tr025072885US EQT ETF3,209$348.8K<0.1%–
JCAPJefferson Capital, Inc.COM20,000$345.2K<0.1%History
KRMNKarman Holdings Inc.COMMON STOCK4,223$304.9K<0.1%History
iShares Tr46436E858IBONDS 26 TRM TS11,771$270.1K<0.1%–
QUREuniQure N.V.SHS4,500$262.7K<0.1%History
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF3,075$260.9K<0.1%–
ProShares Tr74347B680S&P MDCP 400 DIV3,050$260.3K<0.1%–
Vanguard Ftse All-World Ex-US Small-Cap ETF922042718ETF1,816$258.9K<0.1%–
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH1,424$255.4K<0.1%–
Innovator ETFs Trust45783Y277US SM CA PW JUNE9,294$253.7K<0.1%–
SNPSSynopsys IncCOM514$253.6K<0.1%History
iShares Ibonds 2026 Term High Yield and Income ETF46436E528ETF10,791$252.4K<0.1%–
MIRMMirum Pharmaceuticals, Inc.COM3,400$249.3K<0.1%History
SESea LtdSPONSORD ADS1,394$249.2K<0.1%History
NXHNeighborhood Intelligence, Inc.COM24,863$243.4K<0.1%History
PTCPTC Inc.Stock1,196$242.8K<0.1%History
NGGNational Grid PLCSPONSORED ADR NE3,317$241.0K<0.1%History
iShares Tr46436E866IBONDS 25 TRM TS10,277$240.1K<0.1%–
PSLVSprott Physical Silver TrustPHYSICAL SILVER15,254$239.5K<0.1%History
First Tr Exchange Trad FD VI33740Y101ALT ABSLT STRG7,637$232.7K<0.1%–
LTCLTC Properties IncREIT6,258$230.7K<0.1%History
LENLennar CorpCL A1,805$227.6K<0.1%History
HPQHP IncStock8,335$227.0K<0.1%History
FUTUFutu Holdings LtdSPON ADS CL A1,300$226.1K<0.1%History
CCICrown Castle Inc.REIT2,322$224.0K<0.1%History
First Tr Exch TRD Alphdx FD33737J182EMERG MKT ALPH8,262$223.9K<0.1%–
SWKSSkyworks Solutions, Inc.Stock2,871$221.0K<0.1%History
Fidelity Merrimack STR Tr316188101CORP BOND ETF4,590$220.3K<0.1%–
Bondbloxx ETF Trust09789C846BLOOMBERG THREE4,362$217.4K<0.1%–
First Tr Exchange Traded FD33738R860NASDAQ BK ETF6,005$213.8K<0.1%–
SONYSony Group CorpSPONSORED ADR7,412$213.4K<0.1%History
iShares Tr46436E403MSCI US GARP ETF3,250$213.3K<0.1%–
VRSNVerisign IncCOM760$212.6K<0.1%History
AB Active ETFs Inc00039J608HIGH YIELD ETF5,533$210.0K<0.1%–
SFMSprouts Farmers Market, Inc.COM1,907$207.5K<0.1%History
Innovator ETFs Trust45783Y814LADERD ALCTN PWR4,246$207.4K<0.1%–