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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
CBRECbre Group, Inc.CL A1,679$270.0K<0.1%+8+0.5%AddedHistory
TKOTKO Group Holdings, Inc.CL A1,293$270.2K<0.1%00.0%UnchangedHistory
ZIONZions Bancorporation, National AssociationCOM4,638$271.5K<0.1%+127+2.8%AddedHistory
PORPortland General Electric CoCOM NEW5,663$271.8K<0.1%+210+3.9%AddedHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF24,185$271.8K<0.1%−2,443−9.2%Reduced–
GLUGabelli Global Utility & Income TrustCOM SH BEN INT14,141$272.5K<0.1%+39+0.3%AddedHistory
State Street SPDR S&P Regional Banking ETF78464A698ETF4,208$272.7K<0.1%+63+1.5%Added–
VKTXViking Therapeutics, Inc.COM7,760$273.0K<0.1%+7,760NewHistory
CTVACorteva, Inc.Stock4,073$273.0K<0.1%−122−2.9%ReducedHistory
First Tr Exchng Traded FD VI33740F276FT ENER INCO ETF13,782$273.8K<0.1%+1,591+13.1%Added–
Fidelity Merrimack STR Tr316188853MUN BD OPPORTUN5,148$273.8K<0.1%+5,148New–
MASMasco CorpCOM4,321$274.2K<0.1%−59−1.3%ReducedHistory
ESEversource EnergyStock4,075$274.3K<0.1%+282+7.4%AddedHistory
GWWW.W. Grainger, Inc.Stock272$274.8K<0.1%−6−2.2%ReducedHistory
Northern LTS FD Tr III66538R730HCM DEFEN 5004,437$275.0K<0.1%+4,437New–
ICEIntercontinental Exchange, Inc.Stock1,715$275.9K<0.1%−44−2.5%ReducedHistory
iShares Tr46435G474FALN ANGLS USD10,116$276.2K<0.1%+208+2.1%Added–
APLEApple Hospitality REIT, Inc.REIT23,382$277.1K<0.1%+457+2.0%AddedHistory
CRMDCorMedix Inc.COM23,872$277.6K<0.1%−2,759−10.4%ReducedHistory
BBDCBarings BDC, Inc.COM30,301$278.2K<0.1%+1,764+6.2%AddedHistory
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM31,560$278.4K<0.1%−236−0.7%ReducedHistory
ODDOddity Tech LtdSHS CL A6,930$278.4K<0.1%+1,290+22.9%AddedHistory
ALLEAllegion plcORD SHS1,754$279.2K<0.1%−389−18.2%ReducedHistory
PHYSSprott Physical Gold TrustPHYSICAL GOLD TR8,460$279.3K<0.1%−4,675−35.6%ReducedHistory
Innovator ETFs Trust45782C466GRWT100 PWR BF3,392$279.6K<0.1%+3,392New–
RIGLRigel Pharmaceuticals IncCOM6,533$279.8K<0.1%+6,533NewHistory
AXGNAxogen, Inc.COM8,562$280.2K<0.1%+8,562NewHistory
Invesco Exch Traded FD Tr II46138G615INVESCO PHLX SM5,027$280.4K<0.1%+50+1.0%Added–
iShares Inc46434G855MSCI GBL GOLD MN3,990$281.4K<0.1%+641+19.1%Added–
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF1,223$281.4K<0.1%−1,140−48.2%Reduced–
TYGTortoise Energy Infrastructure CorpCOM6,896$282.0K<0.1%+6,896NewHistory
New Gold Inc Cda644535106COM32,410$282.3K<0.1%+6,020+22.8%Added–
Innovator ETFs Tr45782C862LOUP FRONTIER3,717$284.0K<0.1%+3,717New–
RKLBRocket Lab CorpCOM4,071$284.0K<0.1%−15,042−78.7%ReducedHistory
iShares Tr464287622RUS 1000 ETF763$284.9K<0.1%+14+1.9%Added–
BWAYBrainsway Ltd.SPONSORED ADS15,000$285.3K<0.1%+15,000NewHistory
USBUS Bancorp DECOM NEW5,354$285.7K<0.1%−620−10.4%ReducedHistory
SPDR Series Trust78464A284ST NUVE HIGH ETF11,511$287.1K<0.1%−17−0.1%Reduced–
RGTIRigetti Computing, Inc.COMMON STOCK13,181$287.5K<0.1%+1,381+11.7%AddedHistory
Victory Portfolios II92647N550VCTRYSHS INTL MO4,431$287.9K<0.1%+4,431New–
iShares Tr464287770U.S. FIN SVC ETF3,121$287.9K<0.1%+434+16.2%Added–
iShares Tr46428951110+ YR INVST GRD5,714$288.3K<0.1%+1,453+34.1%Added–
IOTSamsara Inc.Stock8,161$289.3K<0.1%+556+7.3%AddedHistory
OZKBank OZKCOM6,291$289.5K<0.1%+713+12.8%AddedHistory
iShares Tr464287796U.S. ENERGY ETF6,127$291.2K<0.1%+294+5.0%Added–
AZOAutoZone IncCOM86$291.7K<0.1%+3+3.6%AddedHistory
WisdomTree Tr97717Y550EFFICIENT GLD PL3,158$293.8K<0.1%+3,158New–
OMCOmnicom Group Inc.COM3,643$294.1K<0.1%+3,643NewHistory
CGTXCognition Therapeutics IncCOM216,165$294.5K<0.1%+89,075+70.1%AddedHistory
Pacer FDS Tr69374H709GLOBL CASH ETF7,147$294.6K<0.1%+555+8.4%Added–
VanEck ETF Trust92189F601URANI NUCLE ETF2,372$294.6K<0.1%+2,372New–
Fidelity Covington Trust31609A503ENH MID COR ETF8,111$295.1K<0.1%+1,943+31.5%Added–
NBISNebius Group N.V.Stock3,528$295.3K<0.1%+3,528NewHistory
Kraneshares Trust500767306CSI CHI INTERNET8,673$295.3K<0.1%+8,673New–
Goldman Sachs ETF Tr38149W622S&P 500 PREMIUM5,610$296.2K<0.1%+5,610New–
DOWDow Inc.Stock12,683$296.5K<0.1%−14,548−53.4%ReducedHistory
HBANHuntington Bancshares IncCOM17,097$296.6K<0.1%−1,393−7.5%ReducedHistory
HLTHilton Worldwide Holdings Inc.COM1,033$296.7K<0.1%−29−2.7%ReducedHistory
First Tr Exchng Traded FD VI33740F342FT VEST U.S12,060$298.1K<0.1%−6,854−36.2%Reduced–
HPEHewlett Packard Enterprise CoCOM12,425$298.6K<0.1%−566−4.4%ReducedHistory
RNTXRein Therapeutics, Inc.COM NEW247,277$298.6K<0.1%−6,550−2.6%ReducedHistory
iShares U S ETF Tr46431W705INT RT HDG C B3,199$298.6K<0.1%−392−10.9%Reduced–
IRMIron Mountain IncCOM3,605$299.4K<0.1%+193+5.7%AddedHistory
EWEdwards Lifesciences CorpStock3,518$299.9K<0.1%−53−1.5%ReducedHistory
Northern LTS FD Tr IV66538H179MAIN BUYWRITE20,972$300.3K<0.1%+9,860+88.7%Added–
DVNDevon Energy CorpStock8,212$300.8K<0.1%−81−1.0%ReducedHistory
SNASnap-on IncCOM873$300.8K<0.1%−132−13.1%ReducedHistory
Fidelity Covington Trust316092709MSCI INDL INDX3,653$301.3K<0.1%−32−0.9%Reduced–
First Tr Exchng Traded FD VI33740U786FT VEST U.S7,411$303.3K<0.1%00.0%Unchanged–
Global X FDS37954Y848GLOBAL X SILVER1,821$304.6K<0.1%−1,800−49.7%Reduced–
Dimensional U.S. Small Cap ETF25434V500ETF6,577$305.1K<0.1%+521+8.6%Added–
ABRArbor Realty Trust IncCOM39,326$305.2K<0.1%+15,728+66.6%AddedHistory
ONCBeOne Medicines Ltd.ADR1,005$305.3K<0.1%−3,208−76.1%ReducedHistory
LIVELive Ventures IncCOM NEW20,649$305.6K<0.1%+324+1.6%AddedHistory
DGDollar General CorpCOM2,319$305.7K<0.1%+19+0.8%AddedHistory
ASTSAST SpaceMobile, Inc.COM CL A4,213$306.0K<0.1%−941−18.3%ReducedHistory
NNNNNN REIT, Inc.REIT7,737$306.6K<0.1%+540+7.5%AddedHistory
Trust for Professional Manag89834G760CONVERGENCE LNG11,230$306.9K<0.1%−3,675−24.7%Reduced–
First Tr Exchange-Traded Alp33734K109COM SHS2,593$307.5K<0.1%−873−25.2%Reduced–
LNTAlliant Energy CorpStock4,733$307.7K<0.1%−399−7.8%ReducedHistory
DJTTrump Media & Technology Group Corp.Stock23,256$307.9K<0.1%+23,256NewHistory
GIBCgi IncCL A3,358$310.0K<0.1%−175−5.0%ReducedHistory
RBB FD Inc74933W478US TREASRY 12 MT6,238$313.1K<0.1%−1,023−14.1%Reduced–
ARK ETF Tr00214Q302GENOMIC REV ETF10,812$313.2K<0.1%+3,074+39.7%Added–
SPDR Series Trust78464A821ST STR SP400GRW3,407$314.9K<0.1%−724−17.5%Reduced–
BlackRock ETF Trust II092528843ISH HIG MUN ETF6,483$315.6K<0.1%−5−0.1%Reduced–
CHICalamos Convertible Opportunities & Income FundSH BEN INT30,277$317.3K<0.1%−4,334−12.5%ReducedHistory
Innovator ETFs Trust45782C573US EQTY PWR BUF7,620$318.4K<0.1%+740+10.8%Added–
DYDycom Industries IncCOM943$318.6K<0.1%+943NewHistory
MTZMastec IncCOM1,467$318.9K<0.1%+1,467NewHistory
Janus Detroit STR Tr47103U209HENDERSN SML ETF3,913$319.1K<0.1%+3,913New–
Invesco Exchange Traded FD T46137V886DWA STAPLES3,190$320.4K<0.1%−13−0.4%Reduced–
Invesco Exchange Traded FD T46137V480S&P SMCP VLU MNT5,618$321.0K<0.1%−169−2.9%Reduced–
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT9,250$321.4K<0.1%+58+0.6%AddedHistory
iShares Tr46435G243ESG AWRE 1 5 YR12,765$322.2K<0.1%+132+1.0%Added–
Tidal Trust II88636R479DEFIA AI PWR ETF14,580$322.5K<0.1%+14,580New–
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG2,444$323.5K<0.1%−214−8.1%Reduced–
CIENCiena CorpCOM NEW1,385$323.9K<0.1%−39−2.7%ReducedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT33,234$324.0K<0.1%+3,414+11.4%AddedHistory
STZConstellation Brands, Inc.Stock2,458$325.1K<0.1%+95+4.0%AddedHistory

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%–