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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q1 2026

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

Institution overview
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
SecurityClassSharesValue% of portfolioShare changeActionHistory
Gabelli Equity Tr Inc362397226RIGHT 04/14/202613,050$91<0.1%+13,050New–
XRXDWXerox Holdings Corp*W EXP 02/11/20227,445$2.48K<0.1%+27,445NewHistory
CUECue Biopharma, Inc.COM38,750$8.91K<0.1%−2,300−5.6%ReducedHistory
OPKOpko Health, Inc.COM15,807$18.0K<0.1%00.0%UnchangedHistory
PLUGPlug Power IncStock13,991$31.6K<0.1%−10,692−43.3%ReducedHistory
BLDPBallard Power Systems Inc.COM15,104$36.6K<0.1%+11+0.1%AddedHistory
OXSQOxford Square Capital Corp.COM21,310$37.7K<0.1%+299+1.4%AddedHistory
REIRing Energy, Inc.COM25,605$39.2K<0.1%+25,605NewHistory
XRXXerox Holdings CorpCOM NEW31,903$41.2K<0.1%−4,441−12.2%ReducedHistory
GEVOGevo, Inc.COM PAR17,000$46.4K<0.1%+17,000NewHistory
GGBGerdau S.A.SPON ADR REP PFD13,426$48.5K<0.1%−3,899−22.5%ReducedHistory
BBAIBigBear.ai Holdings, Inc.COM13,900$48.9K<0.1%+1,300+10.3%AddedHistory
PCTPureCycle Technologies, Inc.COM10,246$53.2K<0.1%+10,246NewHistory
NATNordic American Tankers LtdCOM11,960$70.1K<0.1%−10,799−47.4%ReducedHistory
BBDBank BradescoSP ADR PFD NEW19,512$71.2K<0.1%+35+0.2%AddedHistory
GABGabelli Equity Trust IncCOM13,107$73.4K<0.1%+60+0.5%AddedHistory
SBSafe Bulkers, Inc.COM11,675$73.9K<0.1%+23+0.2%AddedHistory
ACHRArcher Aviation Inc.Stock14,418$74.5K<0.1%+14,418NewHistory
CIKUBS Asset Management Income Fund, Inc.COM31,435$80.5K<0.1%00.0%UnchangedHistory
MPTMedical Properties Trust IncCOM17,579$81.4K<0.1%−698−3.8%ReducedHistory
MITTTPG Mortgage Investment Trust, Inc.COM NEW11,200$81.9K<0.1%+11,200NewHistory
TWITitan International IncCOM12,069$83.4K<0.1%00.0%UnchangedHistory
IGRCbre Global Real Estate Income FundCOM20,041$88.0K<0.1%+121+0.6%AddedHistory
SERVServe Robotics Inc.COM10,446$88.2K<0.1%+300+3.0%AddedHistory
PSECProspect Capital CorpCOM36,568$95.4K<0.1%−1,357−3.6%ReducedHistory
BCHTBirchtech Corp.COM52,412$99.6K<0.1%+52,412NewHistory
CLFCleveland-Cliffs Inc.COM11,969$101.1K<0.1%−94−0.8%ReducedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,911$103.1K<0.1%+11+0.1%AddedHistory
CLSKCleanspark, Inc.COM NEW12,133$103.3K<0.1%−200−1.6%ReducedHistory
FLOFlowers Foods IncCOM12,801$104.3K<0.1%+1,735+15.7%AddedHistory
NOKNokia CorpSPONSORED ADR13,302$106.9K<0.1%−6,567−33.1%ReducedHistory
EFTEaton Vance Floating-Rate Income TrustCOM10,062$108.0K<0.1%+28+0.3%AddedHistory
MARAMARA Holdings, Inc.COM13,409$109.4K<0.1%+1,485+12.5%AddedHistory
NMZNuveen Municipal High Income Opportunity FundCOM10,601$110.0K<0.1%+10,601NewHistory
BHVNBiohaven Ltd.COM13,324$112.7K<0.1%−289−2.1%ReducedHistory
GNLGlobal Net Lease, Inc.COM NEW13,227$123.8K<0.1%−1,840−12.2%ReducedHistory
RDWRedwire CorpStock15,334$130.3K<0.1%−1,745−10.2%ReducedHistory
IBRXImmunityBio, Inc.COM17,715$135.9K<0.1%+715+4.2%AddedHistory
MQYBlackRock Muniyield Quality Fund, Inc.COM12,400$136.2K<0.1%+12,400NewHistory
ODDOddity Tech LtdSHS CL A10,535$141.0K<0.1%+3,605+52.0%AddedHistory
AGNTAGNT, Inc.COM23,722$142.1K<0.1%+263+1.1%AddedHistory
SCWO374Water Inc.COM52,353$148.7K<0.1%+7,000+15.4%AddedHistory
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF12,952$150.8K<0.1%+143+1.1%Added–
EFREaton Vance Senior Floating-Rate TrustCOM14,438$152.2K<0.1%+11+0.1%AddedHistory
FLGFlagstar Bank, National AssociationStock11,898$156.7K<0.1%−2,158−15.4%ReducedHistory
UNGUnited States Natural Gas Fund, LPETF13,642$160.0K<0.1%+1,716+14.4%AddedHistory
SSLSasol LtdSPONSORED ADR12,372$160.3K<0.1%+12,372NewHistory
BEATHeartBeam, Inc.COM132,550$161.7K<0.1%+70,900+115.0%AddedHistory
EVEREverQuote, Inc.COM CL A10,560$162.8K<0.1%+1,125+11.9%AddedHistory
RGTIRigetti Computing, Inc.COMMON STOCK12,431$174.5K<0.1%−750−5.7%ReducedHistory
ABRArbor Realty Trust IncCOM22,941$176.9K<0.1%−16,385−41.7%ReducedHistory
CIMChimera Investment CorpCOM SHS14,690$184.4K<0.1%+501+3.5%AddedHistory
NWLNewell Brands Inc.Stock54,554$187.1K<0.1%+6,454+13.4%AddedHistory
JPCNuveen Preferred & Income Opportunities FundCOM24,906$187.8K<0.1%−492−1.9%ReducedHistory
TSITCW Strategic Income Fund IncCOM41,952$188.4K<0.1%00.0%UnchangedHistory
HAFNHafnia LtdCOMMON STOCK25,000$190.0K<0.1%−3,800−13.2%ReducedHistory
Global X FDS37950E291GLOBX SUPDV US10,100$190.9K<0.1%−565−5.3%Reduced–
SMRNuscale Power CorpCL A COM17,954$194.6K<0.1%+7,087+65.2%AddedHistory
VanEck ETF Trust92189F452MORTGAGE REIT19,288$197.9K<0.1%−1,000−4.9%Reduced–
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF4,425$200.3K<0.1%+4,425New–
LTCLTC Properties IncREIT5,400$200.6K<0.1%+5,400NewHistory
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF931$201.0K<0.1%−292−23.9%Reduced–
MLMMartin Marietta Materials IncCOM342$201.3K<0.1%+8+2.4%AddedHistory
iShares Tr464288752US HOME CONS ETF2,233$202.2K<0.1%+41+1.9%Added–
Amplify ETF Tr032108664AMPLIFY CYBERSEC2,697$202.5K<0.1%+117+4.5%Added–
TMToyota Motor CorpADS987$203.4K<0.1%−639−39.3%ReducedHistory
Calamos ETF Tr12811T688CALLMOS BIT STRU8,572$203.6K<0.1%+8,572New–
Nushares ETF Tr67092P201NUVEEN ESG LRGCP2,240$203.7K<0.1%+9+0.4%Added–
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG9,750$203.8K<0.1%00.0%Unchanged–
MSIMotorola Solutions, Inc.Stock470$203.8K<0.1%−548−53.8%ReducedHistory
TTTrane Technologies plcSHS493$205.3K<0.1%−2,968−85.8%ReducedHistory
TSCOTractor Supply CoCOM4,548$206.0K<0.1%−251−5.2%ReducedHistory
Simplify Exchange Traded Fun82889N723AGGREGATE BD ETF10,145$206.4K<0.1%+408+4.2%Added–
LANDGladstone Land CorpCOM20,243$206.5K<0.1%+2,417+13.6%AddedHistory
Etfis Ser Tr I26923G707VIRTUS NEWFLEET9,081$206.6K<0.1%−66−0.7%Reduced–
AXONAxon Enterprise, Inc.COM488$207.1K<0.1%−180−26.9%ReducedHistory
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF4,289$207.2K<0.1%−615−12.5%Reduced–
Invesco Exchange Traded FD T46137V274S&P500 EQL UTL2,559$207.6K<0.1%+2,559New–
IMOImperial Oil LtdCOM NEW1,588$207.7K<0.1%+1,588NewHistory
ONBOld National BancorpStock9,405$207.9K<0.1%+5+0.1%AddedHistory
First Tr Exchng Traded FD VI33740F466FT VEST U.S7,926$208.5K<0.1%−223−2.7%Reduced–
NEANuveen AMT-Free Quality Municipal Income FundCOM18,581$208.7K<0.1%+347+1.9%AddedHistory
ETF Opportunities Trust26923N769LAFFER TEN EQ IN ADDED5,779$209.1K<0.1%+5,779New–
Invesco Exch Traded FD Tr II46138E511PFD ETF19,239$209.3K<0.1%−4,946−20.5%Reduced–
PSAPublic StorageCOM773$209.4K<0.1%+773NewHistory
WisdomTree Tr97717X578EM EX ST-OWNED5,227$209.6K<0.1%−1,153−18.1%Reduced–
LNTAlliant Energy CorpStock2,926$210.0K<0.1%−1,807−38.2%ReducedHistory
iShares Tr46435G425ESG AWR MSCI USA1,496$211.6K<0.1%−31−2.0%Reduced–
Invesco Exchange Traded FD T46137V647SEMICONDUCTORS2,242$211.6K<0.1%+2,242New–
HYMCHycroft Mining Holding CorpCL A NEW6,020$211.9K<0.1%+6,020NewHistory
EQTEQT CorpStock3,333$212.1K<0.1%+3,333NewHistory
IBKRInteractive Brokers Group, Inc.Stock3,172$212.8K<0.1%−534−14.4%ReducedHistory
SPDR Series Trust78468R887ST STR R2K LOWV1,553$212.9K<0.1%+1,553New–
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF840$213.5K<0.1%−14−1.6%Reduced–
iShares Tr46434V381FUTU EXPO TE ETF3,140$214.0K<0.1%00.0%Unchanged–
CICigna GroupStock805$214.7K<0.1%−114−12.4%ReducedHistory
iShares Tr464287812US CONSM STAPLES3,070$215.0K<0.1%−245−7.4%Reduced–
DJTTrump Media & Technology Group Corp.Stock23,204$215.3K<0.1%−52−0.2%ReducedHistory
DGDollar General CorpCOM1,821$216.2K<0.1%−498−21.5%ReducedHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN9,701$216.6K<0.1%+9,701NewHistory

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
SecurityClassPutsCalls
NVDANVIDIA CorpStock$229.3K$213.9K
PLTRPalantir Technologies Inc.Stock$333.1K–
CNCCentene CorpStock–$107.6K
FFord Motor CoStock–$91.9K
XRXXerox Holdings CorpCOM 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
SecurityClassShares in Q4 2025Value in Q4 2025% of portfolio in Q4 2025History
First Tr Exchng Traded FD VI33740F516FT VEST US EQT98,254$4.20M0.1%–
BlackRock ETF Trust09290C871ETF109,921$4.10M0.1%–
First Tr Exchng Traded FD VI33740F664FT VEST US EQT83,553$4.09M0.1%–
ETF Ser Solutions26922B543LHA RISK MANAGE89,811$2.23M0.1%–
First Tr Exchng Traded FD VI33740U752FT VEST NASD ETF78,927$1.65M<0.1%–
Innovator ETFs Trust45782C631INTERNATIONAL DV46,093$1.61M<0.1%–
TTWOTake Two Interactive Software IncCOM5,828$1.49M<0.1%History
Invesco Exchange Traded FD T46137V431S&P 500 GARP ETF22,782$1.30M<0.1%–
J P Morgan Exchange Traded F46654Q724HEDG EQU LAD ETF18,582$1.23M<0.1%–
DLTRDollar Tree, Inc.COM8,293$1.02M<0.1%History
ILMNIllumina, Inc.COM7,493$982.8K<0.1%History
Innovator ETFs Trust45782C615GRWT100 PWR BUF15,961$922.9K<0.1%–
MLYSMineralys Therapeutics, Inc.COM24,000$871.0K<0.1%History
RMBSRambus IncCOM9,460$870.6K<0.1%History
RBARB Global Inc.COM8,416$865.8K<0.1%History
IDXXIDEXX Laboratories IncCOM1,269$858.5K<0.1%History
PTCTPTC Therapeutics, Inc.COM10,010$760.4K<0.1%History
ECGEverus Construction Group, Inc.Stock8,640$739.2K<0.1%History
EFCEllington Financial Inc.COM52,146$708.1K<0.1%History
NTRANatera, Inc.COM3,056$700.1K<0.1%History
PVLAPalvella Therapeutics, Inc.COM6,500$680.4K<0.1%History
KMTSKestra Medical Technologies, Ltd.SHS25,250$669.6K<0.1%History
RAPTRAPT Therapeutics, Inc.COM NEW19,000$643.5K<0.1%History
FNVFranco Nevada CorpStock1,591$599.1K<0.1%History
STESTERIS plcSHS USD2,232$565.9K<0.1%History
First Tr Exchange Traded FD33734X770DJ INTL INTRNT16,040$544.0K<0.1%–
ADPTAdaptive Biotechnologies CorpCOM32,550$528.6K<0.1%History
Dimensional ETF Trust25434V872CORE FIXE IN ETF12,180$518.4K<0.1%–
ZSZscaler, Inc.Stock2,130$479.2K<0.1%History
IRIngersoll Rand Inc.COM6,020$476.9K<0.1%History
Fidelity Merrimack STR Tr316188200LTD TRM BD ETF9,075$460.1K<0.1%–
EXEExpand Energy CorpCOM4,105$453.1K<0.1%History
APGAPi Group CorpCOM STK6,206$436.4K<0.1%History
RBB FD Inc74933W643MOTLEY FOOL CAPI38,105$415.7K<0.1%–
BBNXBeta Bionics, Inc.COM13,500$411.3K<0.1%History
BLLNBillionToOne, Inc.CL A5,000$409.2K<0.1%History
CCSCentury Communities, Inc.COM6,525$387.3K<0.1%History
AUAngloGold Ashanti PLCCOM SHS4,463$380.6K<0.1%History
NKTRNektar TherapeuticsCOM NEW9,000$380.5K<0.1%History
AESAES CorpStock26,514$380.2K<0.1%History
COLLCollegium Pharmaceutical, IncCOM8,000$370.4K<0.1%History
MEDPMedpace Holdings, Inc.COM659$370.1K<0.1%History
Profesionally Managed Portfo74316P579AKRE FOCUS ETF5,501$360.4K<0.1%–
QQnity Electronics, Inc.COMMON STOCK4,210$343.8K<0.1%History
Vanguard S&P 500 Value ETF921932703ETF1,646$337.2K<0.1%–
DMRADamora Therapeutics, Inc.COM NEW14,500$333.6K<0.1%History
J P Morgan Exchange-Traded F46641Q738BETBULD MSCI3,562$329.8K<0.1%–
DYDycom Industries IncCOM943$318.6K<0.1%History
ONCBeOne Medicines Ltd.ADR1,005$305.3K<0.1%History
OMCOmnicom Group Inc.COM3,643$294.1K<0.1%History
iShares Tr46428951110+ YR INVST GRD5,714$288.3K<0.1%–
Victory Portfolios II92647N550VCTRYSHS INTL MO4,431$287.9K<0.1%–
SPDR Series Trust78464A284ST NUVE HIGH ETF11,511$287.1K<0.1%–
New Gold Inc Cda644535106COM32,410$282.3K<0.1%–
iShares Inc46434G855MSCI GBL GOLD MN3,990$281.4K<0.1%–
AXGNAxogen, Inc.COM8,562$280.2K<0.1%History
RIGLRigel Pharmaceuticals IncCOM6,533$279.8K<0.1%History
ALLEAllegion plcORD SHS1,754$279.2K<0.1%History
Northern LTS FD Tr III66538R730HCM DEFEN 5004,437$275.0K<0.1%–
State Street SPDR S&P Regional Banking ETF78464A698ETF4,208$272.7K<0.1%–
iShares Inc464286319EM MKTS DIV ETF8,620$268.6K<0.1%–
Cyberark Software LtdM2682V108SHS598$266.9K<0.1%–
WisdomTree Tr97717Y527FLOATNG RAT TREA5,243$263.8K<0.1%–
WABWestinghouse Air Brake Technologies CorpStock1,220$260.4K<0.1%History
EXELExelixis, Inc.COM5,932$260.0K<0.1%History
EXRExtra Space Storage Inc.COM1,958$255.0K<0.1%History
CASHPathward Financial, Inc.COM3,536$251.1K<0.1%History
SGISomnigroup International Inc.COM2,789$249.0K<0.1%History
Innovator ETFs Trust45782C623EMERGING MKT PWR7,730$244.2K<0.1%–
TEMTempus AI, Inc.CL A4,129$243.8K<0.1%History
WBDWarner Bros. Discovery, Inc.Stock8,266$238.2K<0.1%History
DKNGDraftKings Inc.Stock6,802$234.4K<0.1%History
iShares Inc464286525MSCI GBL MIN VOL1,946$231.1K<0.1%–
BABAAlibaba Group Holding LtdADR1,557$228.2K<0.1%History
FSLRFirst Solar, Inc.Stock873$227.9K<0.1%History
METMetlife IncStock2,888$227.9K<0.1%History
BIDUBaidu, Inc.ADR1,734$226.6K<0.1%History
First Tr Exchange-Traded FD33738R647S-NETWORK STREAM6,000$225.3K<0.1%–
CNTACentessa Pharmaceuticals plcSPONSORED ADS9,000$225.1K<0.1%History
First Tr Exchng Traded FD VI33740U828FT VEST INT EQ M8,477$220.5K<0.1%–
First Tr Exchng Traded FD VI33740F656FT VEST INTE8,375$219.3K<0.1%–
CHRWC. H. Robinson Worldwide, Inc.COM NEW1,363$219.1K<0.1%History
SANMSanmina CorpCOM1,460$218.8K<0.1%History
AJGArthur J. Gallagher & Co.COM836$216.3K<0.1%History
First Tr Exchng Traded FD VI33740U307FT VEST US EQT4,161$214.5K<0.1%–
Amplify ETF Tr032108649AMPLIFY JUNIOR S7,731$213.9K<0.1%–
Bondbloxx ETF Trust09789C853BLOOMBERG TWO YR4,311$213.3K<0.1%–
First Tr Exchng Traded FD VI33740U869FT VEST INT JUNE8,304$212.9K<0.1%–
Ssga Active Tr78470P408STATE STREET US3,405$212.2K<0.1%–
SPDR Series Trust78468R408ST TERM HIGH ETF8,346$211.3K<0.1%–
AMPAmeriprise Financial IncCOM430$210.9K<0.1%History
Fidelity Covington Trust316092857MSCI RL EST ETF7,785$209.3K<0.1%–
BTCGrayscale Bitcoin Mini Trust ETFETF5,357$207.5K<0.1%History
XYLXylem Inc.COM1,538$206.7K<0.1%History
DHIHorton D R IncCOM1,435$206.6K<0.1%History
iShares Tr46436E767ESG MSCI USA ETF3,572$205.7K<0.1%–
Bitwise Crypto Industry Innovators ETF09175C103ETF10,143$202.2K<0.1%–
Fidelity Covington Trust316092113ENHANCED LARGE5,270$201.2K<0.1%–
Innovator ETFs Trust45782C565US EQTY ULTRA BU5,275$200.7K<0.1%–
LUNRIntuitive Machines, Inc.CLASS A COM10,947$177.7K<0.1%History