Sigma Planning Corp

SEC CIK: 0001449126
Latest filing: Aug 7, 2026

SEC filings (opens in a new tab)

Holdings in Q1 2026

Holdings as of Mar 31, 2026, filed May 4, 2026. Long positions only; changes compare share counts with Q4 2025.

Positions: 1,302; +15 vs. Q4 2025
Portfolio value: $3.60B; −$22.5M (−0.6%) vs. Q4 2025
Filed: May 4, 2026; SEC

Holdings of Sigma Planning Corp in Q1 2026
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
iShares Core S&P 500 ETF464287200	ETF	298,651	$195.1M	5.4%	+5,069+1.7%	Added	–
AAPLApple Inc.	Stock	611,864	$155.3M	4.3%	−9,975−1.6%	Reduced	History
NVDANVIDIA Corp	Stock	639,702	$111.6M	3.1%	−16,469−2.5%	Reduced	History
AMZNAmazon Com Inc	Stock	349,269	$72.7M	2.0%	−2,490−0.7%	Reduced	History
Invesco QQQ Trust Series I46090E103	ETF	105,629	$61.0M	1.7%	−16,671−13.6%	Reduced	–
SPYSPDR S&P 500 ETF Trust	ETF	86,031	$56.0M	1.6%	−1,890−2.1%	Reduced	History
iShares Core Dividend Growth ETF46434V621	ETF	721,369	$50.6M	1.4%	−9,777−1.3%	Reduced	–
MSFTMicrosoft Corp	Stock	135,061	$50.0M	1.4%	+500.0%	Added	History
iShares S&P 500 Growth ETF464287309	ETF	432,346	$48.9M	1.4%	−1,631−0.4%	Reduced	–
Vanguard S&P 500 ETF922908363	ETF	80,249	$48.0M	1.3%	−370−0.5%	Reduced	–
GOOGAlphabet Inc.	Stock	137,435	$39.4M	1.1%	−1,869−1.3%	Reduced	History
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242	ETF	341,308	$37.2M	1.0%	+8,411+2.5%	Added	–
Schwab U.S. Large-Cap Growth ETF808524300	ETF	943,430	$27.5M	0.8%	−34,442−3.5%	Reduced	–
Schwab US Dividend Equity ETF808524797	ETF	869,867	$26.7M	0.7%	+36,626+4.4%	Added	–
iShares Tr464287457	1 3 YR TREAS BD	303,288	$25.0M	0.7%	+8,775+3.0%	Added	–
AVGOBroadcom Inc.	Stock	77,373	$23.9M	0.7%	+1,455+1.9%	Added	History
iShares Core S&P Mid-Cap ETF464287507	ETF	353,362	$23.9M	0.7%	−8,899−2.5%	Reduced	–
iShares S&P 500 Value ETF464287408	ETF	107,919	$22.8M	0.6%	+1,907+1.8%	Added	–
GOOGLAlphabet Inc.	Stock	78,891	$22.7M	0.6%	−352−0.4%	Reduced	History
METAMeta Platforms, Inc.	Stock	39,379	$22.5M	0.6%	−964−2.4%	Reduced	History
iShares Core S&P Small Cap ETF464287804	ETF	174,257	$21.7M	0.6%	−19,415−10.0%	Reduced	–
GLDSPDR Gold Trust	ETF	46,617	$20.1M	0.6%	−12,371−21.0%	Reduced	History
IAUiShares Gold Trust	ETF	225,847	$19.9M	0.6%	+4,742+2.1%	Added	History
BRK.BBerkshire Hathaway Inc	Stock	39,833	$19.1M	0.5%	−4,731−10.6%	Reduced	History
iShares Core U.S. Aggregate Bond ETF464287226	ETF	187,719	$18.6M	0.5%	+17,736+10.4%	Added	–
Vanguard Morningstar Total Stock Market ETF922908769	ETF	57,145	$18.3M	0.5%	+13,837+32.0%	Added	–
First Trust Rising Dividend Achievers ETF33738R506	ETF	259,052	$17.7M	0.5%	+7,974+3.2%	Added	–
Capital Group Dividend Value14020W106	SHS CREAT UNIT	411,828	$17.5M	0.5%	+130,999+46.6%	Added	–
LLYEli Lilly & Co	Stock	18,320	$16.9M	0.5%	+1,260+7.4%	Added	History
JPMJPMorgan Chase & Co	Stock	54,533	$16.0M	0.4%	−2,571−4.5%	Reduced	History
CATCaterpillar Inc	Stock	22,456	$15.9M	0.4%	−2,355−9.5%	Reduced	History
iShares Tr46429B655	FLTG RATE NT ETF	308,804	$15.7M	0.4%	+8,626+2.9%	Added	–
CVXChevron Corp	Stock	75,995	$15.7M	0.4%	−4,597−5.7%	Reduced	History
TSLATesla, Inc.	Stock	42,041	$15.6M	0.4%	−6,446−13.3%	Reduced	History
iShares Tr464288448	INTL SEL DIV ETF	364,752	$15.5M	0.4%	−22,096−5.7%	Reduced	–
COSTCostco Wholesale Corp	Stock	14,838	$14.8M	0.4%	−1,069−6.7%	Reduced	History
Pacer US Cash Cows 100 ETF69374H881	ETF	236,308	$14.8M	0.4%	−14,313−5.7%	Reduced	–
iShares MSCI USA Min Vol Factor ETF46429B697	ETF	156,526	$14.5M	0.4%	+6,073+4.0%	Added	–
WMTWalmart Inc.	Stock	116,180	$14.4M	0.4%	+4,064+3.6%	Added	History
XOMExxonMobil Holdings Corp	COM	84,822	$14.4M	0.4%	−1,369−1.6%	Reduced	History
Vanguard Morningstar Value ETF922908744	ETF	72,215	$14.2M	0.4%	+2,137+3.0%	Added	–
JNJJohnson & Johnson	Stock	56,291	$13.8M	0.4%	−665−1.2%	Reduced	History
Schwab U.S. Large-Cap ETF808524201	ETF	522,948	$13.4M	0.4%	−10,909−2.0%	Reduced	–
PLTRPalantir Technologies Inc.	Stock	88,975	$13.0M	0.4%	−16,559−15.7%	Reduced	History
State Street Technology Select Sector SPDR ETF81369Y803	ETF	97,010	$12.9M	0.4%	−13,738−12.4%	Reduced	–
iShares Tr464288646	ISHS 1-5YR INVS	239,111	$12.6M	0.3%	+8,736+3.8%	Added	–
iShares Core MSCI Eafe ETF46432F842	ETF	138,820	$12.6M	0.3%	+12,060+9.5%	Added	–
ABBVAbbVie Inc.	Stock	56,826	$12.4M	0.3%	−2,478−4.2%	Reduced	History
First Tr Exchange Traded FD33741X102	SMID RISNG ETF	300,698	$11.9M	0.3%	+9,016+3.1%	Added	–
First Tr Exchng Traded FD VI33740F755	FT LADD BUFF ETF	349,728	$11.8M	0.3%	−22,445−6.0%	Reduced	–
Vanguard Ftse Developed Markets ETF921943858	ETF	184,230	$11.8M	0.3%	+2,774+1.5%	Added	–
HDHome Depot, Inc.	Stock	35,629	$11.7M	0.3%	−232−0.6%	Reduced	History
Invesco Exchange Traded FD T46137V357	S&P500 EQL WGT	59,204	$11.4M	0.3%	+3,398+6.1%	Added	–
SLViShares Silver Trust	ETF	160,771	$11.0M	0.3%	−59,139−26.9%	Reduced	History
iShares Tr464288638	ISHS 5-10YR INVT	201,494	$10.7M	0.3%	−125,182−38.3%	Reduced	–
MUMicron Technology Inc	Stock	31,613	$10.7M	0.3%	−5,021−13.7%	Reduced	History
Vanguard Intermediate-Term Bond ETF921937819	ETF	138,331	$10.7M	0.3%	+7,153+5.5%	Added	–
Vanguard Dividend Appreciation ETF921908844	ETF	49,479	$10.6M	0.3%	+6,272+14.5%	Added	–
iShares Core MSCI Emerging Markets ETF46434G103	ETF	150,782	$10.5M	0.3%	+13,100+9.5%	Added	–
IBMInternational Business Machines Corp	Stock	42,677	$10.3M	0.3%	−1,911−4.3%	Reduced	History
iShares Core S&P US Value ETF464287663	ETF	100,840	$10.3M	0.3%	−7,902−7.3%	Reduced	–
NEENextera Energy Inc	Stock	110,611	$10.3M	0.3%	−6,589−5.6%	Reduced	History
iShares Tr464288307	MRGSTR MD CP GRW	129,887	$10.2M	0.3%	+1,982+1.5%	Added	–
VVisa Inc.	Stock	33,126	$10.0M	0.3%	+656+2.0%	Added	History
iShares Broad Usd Investment Grade Corporate Bond ETF464288620	ETF	194,886	$9.98M	0.3%	+5,936+3.1%	Added	–
VZVerizon Communications Inc	Stock	191,693	$9.62M	0.3%	−1,816−0.9%	Reduced	History
iShares Tr464288414	NATIONAL MUN ETF	90,555	$9.61M	0.3%	−170−0.2%	Reduced	–
iShares MSCI USA Quality Factor ETF46432F339	ETF	48,816	$9.36M	0.3%	−3,195−6.1%	Reduced	–
VanEck Semiconductor ETF92189F676	ETF	24,404	$9.36M	0.3%	+2,274+10.3%	Added	–
TSMTaiwan Semiconductor Manufacturing Co Ltd	ADR	27,452	$9.28M	0.3%	+4,302+18.6%	Added	History
WMWaste Management Inc	Stock	39,817	$9.15M	0.3%	−1,770−4.3%	Reduced	History
Vanguard Morningstar Small-Cap ETF922908751	ETF	34,252	$8.97M	0.2%	+10,776+45.9%	Added	–
State Street Utilities Select Sector SPDR ETF81369Y886	ETF	188,952	$8.67M	0.2%	+15,523+9.0%	Added	–
Vanguard Scottsdale FDS92206C409	SHRT TRM CORP BD	106,796	$8.47M	0.2%	+6,589+6.6%	Added	–
PGProcter & Gamble Co	Stock	57,629	$8.32M	0.2%	+2,127+3.8%	Added	History
Vanguard Morningstar Mid-Cap ETF922908629	ETF	28,775	$8.26M	0.2%	+1,567+5.8%	Added	–
State Street Energy Select Sector SPDR ETF81369Y506	ETF	134,822	$8.26M	0.2%	+15,968+13.4%	Added	–
iShares Tr46436E403	MSCI US GARP ETF	129,075	$8.26M	0.2%	+129,075	New	–
J P Morgan Exchange Traded F46641Q332	EQUITY PREMIUM	144,283	$8.18M	0.2%	−7,460−4.9%	Reduced	–
Vanguard Morningstar Growth ETF922908736	ETF	18,656	$8.15M	0.2%	+1,076+6.1%	Added	–
iShares Tr464287341	GLOBAL ENERG ETF	140,467	$8.09M	0.2%	−6,963−4.7%	Reduced	–
AMDAdvanced Micro Devices Inc	Stock	39,657	$8.07M	0.2%	−4,277−9.7%	Reduced	History
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375	ETF	236,638	$7.94M	0.2%	+28,942+13.9%	Added	–
Northern LTS FD Tr IV66538H591	MAIN SECTR ROTN	131,205	$7.92M	0.2%	+6,385+5.1%	Added	–
State Street Health Care Select Sector SPDR ETF81369Y209	ETF	53,850	$7.89M	0.2%	+1,175+2.2%	Added	–
Bondbloxx ETF Trust09789C788	BLOOMBERG SIX MN	156,840	$7.89M	0.2%	+1,067+0.7%	Added	–
Vanguard Information Technology ETF92204A702	ETF	11,188	$7.81M	0.2%	−127−1.1%	Reduced	–
Fidelity Merrimack STR Tr316188309	TOTAL BD ETF	170,652	$7.79M	0.2%	+4,395+2.6%	Added	–
Innovator ETFs Trust45783Y855	DEFINED WLT SHLD	232,629	$7.78M	0.2%	−32,770−12.3%	Reduced	–
iShares Core High Dividend ETF46429B663	ETF	57,188	$7.76M	0.2%	+371+0.7%	Added	–
Pacer FDS Tr69374H568	SWAN SOS FD OF	238,294	$7.64M	0.2%	+1,891+0.8%	Added	–
DTEDte Energy Co	COM	52,188	$7.63M	0.2%	−961−1.8%	Reduced	History
iShares S&P Small-Cap 600 Growth ETF464287887	ETF	51,879	$7.51M	0.2%	+2,839+5.8%	Added	–
GSGoldman Sachs Group Inc	Stock	8,763	$7.41M	0.2%	−16−0.2%	Reduced	History
CRWDCrowdStrike Holdings, Inc.	Stock	18,970	$7.41M	0.2%	−323−1.7%	Reduced	History
State Street Financial Select Sector SPDR ETF81369Y605	ETF	147,503	$7.28M	0.2%	−43,160−22.6%	Reduced	–
iShares Tr464287572	GLOBAL 100 ETF	60,002	$7.26M	0.2%	−8,645−12.6%	Reduced	–
iShares Tr46435U853	BROAD USD HIGH	195,873	$7.22M	0.2%	+3,381+1.8%	Added	–
Pinnacle Focused Opportuniti88634T519	ETP	195,441	$7.03M	0.2%	−10,016−4.9%	Reduced	–
NFLXNetflix Inc	Stock	72,998	$7.02M	0.2%	−6,539−8.2%	Reduced	History

Options (6)

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 Q1 2026
Security	Class	Puts	Calls
NVDANVIDIA Corp	Stock	$229.3K	$213.9K
PLTRPalantir Technologies Inc.	Stock	$333.1K	–
CNCCentene Corp	Stock	–	$107.6K
FFord Motor Co	Stock	–	$91.9K
XRXXerox Holdings Corp	COM NEW	$9.11K	–
NWLNewell Brands Inc.	Stock	$2.79K	–

Sold out since Q4 2025 (116)

Positions held at the end of Q4 2025 that are gone from this filing.

The largest 100 of 116 by value last quarter.

Positions of Sigma Planning Corp sold out since Q4 2025
Security	Class	Shares in Q4 2025	Value in Q4 2025	% of portfolio in Q4 2025	History
First Tr Exchng Traded FD VI33740F516	FT VEST US EQT	98,254	$4.20M	0.1%	–
BlackRock ETF Trust09290C871	ETF	109,921	$4.10M	0.1%	–
First Tr Exchng Traded FD VI33740F664	FT VEST US EQT	83,553	$4.09M	0.1%	–
ETF Ser Solutions26922B543	LHA RISK MANAGE	89,811	$2.23M	0.1%	–
First Tr Exchng Traded FD VI33740U752	FT VEST NASD ETF	78,927	$1.65M	<0.1%	–
Innovator ETFs Trust45782C631	INTERNATIONAL DV	46,093	$1.61M	<0.1%	–
TTWOTake Two Interactive Software Inc	COM	5,828	$1.49M	<0.1%	History
Invesco Exchange Traded FD T46137V431	S&P 500 GARP ETF	22,782	$1.30M	<0.1%	–
J P Morgan Exchange Traded F46654Q724	HEDG EQU LAD ETF	18,582	$1.23M	<0.1%	–
DLTRDollar Tree, Inc.	COM	8,293	$1.02M	<0.1%	History
ILMNIllumina, Inc.	COM	7,493	$982.8K	<0.1%	History
Innovator ETFs Trust45782C615	GRWT100 PWR BUF	15,961	$922.9K	<0.1%	–
MLYSMineralys Therapeutics, Inc.	COM	24,000	$871.0K	<0.1%	History
RMBSRambus Inc	COM	9,460	$870.6K	<0.1%	History
RBARB Global Inc.	COM	8,416	$865.8K	<0.1%	History
IDXXIDEXX Laboratories Inc	COM	1,269	$858.5K	<0.1%	History
PTCTPTC Therapeutics, Inc.	COM	10,010	$760.4K	<0.1%	History
ECGEverus Construction Group, Inc.	Stock	8,640	$739.2K	<0.1%	History
EFCEllington Financial Inc.	COM	52,146	$708.1K	<0.1%	History
NTRANatera, Inc.	COM	3,056	$700.1K	<0.1%	History
PVLAPalvella Therapeutics, Inc.	COM	6,500	$680.4K	<0.1%	History
KMTSKestra Medical Technologies, Ltd.	SHS	25,250	$669.6K	<0.1%	History
RAPTRAPT Therapeutics, Inc.	COM NEW	19,000	$643.5K	<0.1%	History
FNVFranco Nevada Corp	Stock	1,591	$599.1K	<0.1%	History
STESTERIS plc	SHS USD	2,232	$565.9K	<0.1%	History
First Tr Exchange Traded FD33734X770	DJ INTL INTRNT	16,040	$544.0K	<0.1%	–
ADPTAdaptive Biotechnologies Corp	COM	32,550	$528.6K	<0.1%	History
Dimensional ETF Trust25434V872	CORE FIXE IN ETF	12,180	$518.4K	<0.1%	–
ZSZscaler, Inc.	Stock	2,130	$479.2K	<0.1%	History
IRIngersoll Rand Inc.	COM	6,020	$476.9K	<0.1%	History
Fidelity Merrimack STR Tr316188200	LTD TRM BD ETF	9,075	$460.1K	<0.1%	–
EXEExpand Energy Corp	COM	4,105	$453.1K	<0.1%	History
APGAPi Group Corp	COM STK	6,206	$436.4K	<0.1%	History
RBB FD Inc74933W643	MOTLEY FOOL CAPI	38,105	$415.7K	<0.1%	–
BBNXBeta Bionics, Inc.	COM	13,500	$411.3K	<0.1%	History
BLLNBillionToOne, Inc.	CL A	5,000	$409.2K	<0.1%	History
CCSCentury Communities, Inc.	COM	6,525	$387.3K	<0.1%	History
AUAngloGold Ashanti PLC	COM SHS	4,463	$380.6K	<0.1%	History
NKTRNektar Therapeutics	COM NEW	9,000	$380.5K	<0.1%	History
AESAES Corp	Stock	26,514	$380.2K	<0.1%	History
COLLCollegium Pharmaceutical, Inc	COM	8,000	$370.4K	<0.1%	History
MEDPMedpace Holdings, Inc.	COM	659	$370.1K	<0.1%	History
Profesionally Managed Portfo74316P579	AKRE FOCUS ETF	5,501	$360.4K	<0.1%	–
QQnity Electronics, Inc.	COMMON STOCK	4,210	$343.8K	<0.1%	History
Vanguard S&P 500 Value ETF921932703	ETF	1,646	$337.2K	<0.1%	–
DMRADamora Therapeutics, Inc.	COM NEW	14,500	$333.6K	<0.1%	History
J P Morgan Exchange-Traded F46641Q738	BETBULD MSCI	3,562	$329.8K	<0.1%	–
DYDycom Industries Inc	COM	943	$318.6K	<0.1%	History
ONCBeOne Medicines Ltd.	ADR	1,005	$305.3K	<0.1%	History
OMCOmnicom Group Inc.	COM	3,643	$294.1K	<0.1%	History
iShares Tr464289511	10+ YR INVST GRD	5,714	$288.3K	<0.1%	–
Victory Portfolios II92647N550	VCTRYSHS INTL MO	4,431	$287.9K	<0.1%	–
SPDR Series Trust78464A284	ST NUVE HIGH ETF	11,511	$287.1K	<0.1%	–
New Gold Inc Cda644535106	COM	32,410	$282.3K	<0.1%	–
iShares Inc46434G855	MSCI GBL GOLD MN	3,990	$281.4K	<0.1%	–
AXGNAxogen, Inc.	COM	8,562	$280.2K	<0.1%	History
RIGLRigel Pharmaceuticals Inc	COM	6,533	$279.8K	<0.1%	History
ALLEAllegion plc	ORD SHS	1,754	$279.2K	<0.1%	History
Northern LTS FD Tr III66538R730	HCM DEFEN 500	4,437	$275.0K	<0.1%	–
State Street SPDR S&P Regional Banking ETF78464A698	ETF	4,208	$272.7K	<0.1%	–
iShares Inc464286319	EM MKTS DIV ETF	8,620	$268.6K	<0.1%	–
Cyberark Software LtdM2682V108	SHS	598	$266.9K	<0.1%	–
WisdomTree Tr97717Y527	FLOATNG RAT TREA	5,243	$263.8K	<0.1%	–
WABWestinghouse Air Brake Technologies Corp	Stock	1,220	$260.4K	<0.1%	History
EXELExelixis, Inc.	COM	5,932	$260.0K	<0.1%	History
EXRExtra Space Storage Inc.	COM	1,958	$255.0K	<0.1%	History
CASHPathward Financial, Inc.	COM	3,536	$251.1K	<0.1%	History
SGISomnigroup International Inc.	COM	2,789	$249.0K	<0.1%	History
Innovator ETFs Trust45782C623	EMERGING MKT PWR	7,730	$244.2K	<0.1%	–
TEMTempus AI, Inc.	CL A	4,129	$243.8K	<0.1%	History
WBDWarner Bros. Discovery, Inc.	Stock	8,266	$238.2K	<0.1%	History
DKNGDraftKings Inc.	Stock	6,802	$234.4K	<0.1%	History
iShares Inc464286525	MSCI GBL MIN VOL	1,946	$231.1K	<0.1%	–
BABAAlibaba Group Holding Ltd	ADR	1,557	$228.2K	<0.1%	History
FSLRFirst Solar, Inc.	Stock	873	$227.9K	<0.1%	History
METMetlife Inc	Stock	2,888	$227.9K	<0.1%	History
BIDUBaidu, Inc.	ADR	1,734	$226.6K	<0.1%	History
First Tr Exchange-Traded FD33738R647	S-NETWORK STREAM	6,000	$225.3K	<0.1%	–
CNTACentessa Pharmaceuticals plc	SPONSORED ADS	9,000	$225.1K	<0.1%	History
First Tr Exchng Traded FD VI33740U828	FT VEST INT EQ M	8,477	$220.5K	<0.1%	–
First Tr Exchng Traded FD VI33740F656	FT VEST INTE	8,375	$219.3K	<0.1%	–
CHRWC. H. Robinson Worldwide, Inc.	COM NEW	1,363	$219.1K	<0.1%	History
SANMSanmina Corp	COM	1,460	$218.8K	<0.1%	History
AJGArthur J. Gallagher & Co.	COM	836	$216.3K	<0.1%	History
First Tr Exchng Traded FD VI33740U307	FT VEST US EQT	4,161	$214.5K	<0.1%	–
Amplify ETF Tr032108649	AMPLIFY JUNIOR S	7,731	$213.9K	<0.1%	–
Bondbloxx ETF Trust09789C853	BLOOMBERG TWO YR	4,311	$213.3K	<0.1%	–
First Tr Exchng Traded FD VI33740U869	FT VEST INT JUNE	8,304	$212.9K	<0.1%	–
Ssga Active Tr78470P408	STATE STREET US	3,405	$212.2K	<0.1%	–
SPDR Series Trust78468R408	ST TERM HIGH ETF	8,346	$211.3K	<0.1%	–
AMPAmeriprise Financial Inc	COM	430	$210.9K	<0.1%	History
Fidelity Covington Trust316092857	MSCI RL EST ETF	7,785	$209.3K	<0.1%	–
BTCGrayscale Bitcoin Mini Trust ETF	ETF	5,357	$207.5K	<0.1%	History
XYLXylem Inc.	COM	1,538	$206.7K	<0.1%	History
DHIHorton D R Inc	COM	1,435	$206.6K	<0.1%	History
iShares Tr46436E767	ESG MSCI USA ETF	3,572	$205.7K	<0.1%	–
Bitwise Crypto Industry Innovators ETF09175C103	ETF	10,143	$202.2K	<0.1%	–
Fidelity Covington Trust316092113	ENHANCED LARGE	5,270	$201.2K	<0.1%	–
Innovator ETFs Trust45782C565	US EQTY ULTRA BU	5,275	$200.7K	<0.1%	–
LUNRIntuitive Machines, Inc.	CLASS A COM	10,947	$177.7K	<0.1%	History