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
PPLTabrdn Platinum ETF Trust	PHYSCL PLATM SHS	1,219	$217.3K	<0.1%	+1,219	New	History
Dimensional ETF Trust25434V807	INTERNATNAL VAL	4,120	$217.5K	<0.1%	+4,120	New	–
First Tr Exchange Traded FD33738R720	NASDQ ARTFCIAL	4,728	$218.2K	<0.1%	−10,063−68.0%	Reduced	–
Franklin Templeton ETF Tr35473P421	FOCUSED DYNAMIC	5,314	$218.3K	<0.1%	00.0%	Unchanged	–
First Tr Exchng Traded FD VI33740F292	FT VEST US SMALL	9,203	$218.6K	<0.1%	+9,203	New	–
T Rowe Price Exchange-Traded87283Q826	SMALL MID CAP	5,963	$218.7K	<0.1%	+5,963	New	–
EXPDExpeditors International of Washington Inc	COM	1,529	$218.9K	<0.1%	+6+0.4%	Added	History
Invesco Exchange Traded FD T46137V449	S&P 100 EQL WIGH	1,902	$219.2K	<0.1%	+1,902	New	–
First Tr Exchange-Traded FD33733A201	DOW 30 EQL WGT	5,408	$219.4K	<0.1%	00.0%	Unchanged	–
UNMUnum Group	Stock	3,005	$219.5K	<0.1%	−21−0.7%	Reduced	History
First Tr Exchng Traded FD VI33740U729	FT VEST LAD	8,368	$219.8K	<0.1%	−10,443−55.5%	Reduced	–
First Tr Exchng Traded FD VI33740F599	FT VEST US EQT	4,534	$219.9K	<0.1%	+4,534	New	–
SPDR Series Trust78468R796	ST STR SP500FF	4,146	$219.9K	<0.1%	−4,294−50.9%	Reduced	–
QBTSD-Wave Quantum Inc.	Stock	15,253	$220.1K	<0.1%	−1,076−6.6%	Reduced	History
Innovator ETFs Trust45783Y681	NASDAQ 100 MANA	6,634	$220.9K	<0.1%	+83+1.3%	Added	–
PBR.APetrobras - Petroleo Brasileiro SA	SP ADR NON VTG	11,800	$221.3K	<0.1%	−1,000−7.8%	Reduced	History
State Street SPDR Portfolio Aggregate Bond ETF78464A649	ETF	8,648	$221.6K	<0.1%	+8,648	New	–
ETF Opportunities Trust26923Q747	HEDGEYE CAPITAL	7,740	$223.5K	<0.1%	+7,740	New	–
Innovator ETFs Trust45782C284	US SML CP PWR B	6,977	$223.5K	<0.1%	−22−0.3%	Reduced	–
RIOTRiot Platforms, Inc.	COM	18,119	$224.0K	<0.1%	+447+2.5%	Added	History
Calamos ETF Tr12811T803	S&P 500 STRUCTUR	8,351	$224.4K	<0.1%	00.0%	Unchanged	–
SAMBoston Beer Co Inc	CL A	975	$224.6K	<0.1%	+975	New	History
Franklin Templeton ETF Tr35473P645	FRANKLIN FTSE	6,990	$225.9K	<0.1%	+6,990	New	–
Calamos ETF Tr12811T860	NASDAQ 100 STRUC	8,343	$226.7K	<0.1%	00.0%	Unchanged	–
AEEAmeren Corp	COM	2,068	$227.3K	<0.1%	−43−2.0%	Reduced	History
HUBBHubbell Inc	COM	464	$227.6K	<0.1%	−21−4.3%	Reduced	History
iShares Tr46438G505	IBONDS OCT 2026	8,784	$227.7K	<0.1%	+193+2.2%	Added	–
VanEck ETF Trust92189H805	RARE EARTH AND S	2,603	$229.1K	<0.1%	+2,603	New	–
Calamos ETF Tr12811T837	RUSSELL 2000 STR	8,503	$229.2K	<0.1%	00.0%	Unchanged	–
ODFLOld Dominion Freight Line, Inc.	COM	1,173	$229.2K	<0.1%	−114−8.9%	Reduced	History
Victory Portfolios II92647N568	USAA MSCI USA SM	2,427	$229.8K	<0.1%	+2,427	New	–
EMEEMCOR Group, Inc.	Stock	312	$230.4K	<0.1%	−368−54.1%	Reduced	History
ZIONZions Bancorporation, National Association	COM	4,010	$231.0K	<0.1%	−628−13.5%	Reduced	History
WisdomTree Tr97717W778	INTL MIDCAP DV	2,799	$231.9K	<0.1%	+2,799	New	–
iShares Tr46435G250	HIGH YLD SYSTM B	4,985	$231.9K	<0.1%	+4,985	New	–
RSReliance, Inc.	COM	763	$232.0K	<0.1%	−67−8.1%	Reduced	History
CBRECbre Group, Inc.	CL A	1,713	$232.0K	<0.1%	+34+2.0%	Added	History
iShares Inc46434G822	MSCI JAPAN ETF	2,749	$232.1K	<0.1%	−283−9.3%	Reduced	–
PIMCO ETF Tr72201R718	ENHNCD LW DUR AC	2,432	$233.0K	<0.1%	+37+1.5%	Added	–
MCOMoodys Corp	Stock	534	$233.2K	<0.1%	+534	New	History
iShares Tr464287754	US INDUSTRIALS	1,585	$233.8K	<0.1%	+1+0.1%	Added	–
iShares Tr464288430	ASIA 50 ETF	2,206	$234.2K	<0.1%	+2,206	New	–
ICEIntercontinental Exchange, Inc.	Stock	1,489	$234.2K	<0.1%	−226−13.2%	Reduced	History
Vanguard BD Index FDS92203C303	VANGUARD ULTRA	4,713	$234.6K	<0.1%	+29+0.6%	Added	–
Neos ETF Trust78433H576	NASDAQ 100 HDGD	4,582	$234.8K	<0.1%	+5+0.1%	Added	–
Innovator ETFs Trust45782C748	US EQTY PWR BUF	5,629	$235.4K	<0.1%	−48−0.8%	Reduced	–
RKLBRocket Lab Corp	COM	3,680	$236.4K	<0.1%	−391−9.6%	Reduced	History
Trust for Professional Manag89834G760	CONVERGENCE LNG	8,420	$236.9K	<0.1%	−2,810−25.0%	Reduced	–
Goldman Sachs ETF Tr381430503	ACTIVEBETA US LG	1,894	$236.9K	<0.1%	−550−22.5%	Reduced	–
CRMDCorMedix Inc.	COM	34,920	$237.1K	<0.1%	+11,048+46.3%	Added	History
UGIUgi Corp	Stock	6,548	$238.6K	<0.1%	+714+12.2%	Added	History
First Tr Exchange-Traded Alp33737M201	MID CAP VAL FD	4,181	$238.6K	<0.1%	−60−1.4%	Reduced	–
SRESempra	Stock	2,458	$238.9K	<0.1%	−1,470−37.4%	Reduced	History
BBDCBarings BDC, Inc.	COM	29,066	$239.2K	<0.1%	−1,235−4.1%	Reduced	History
Abrdn ETFs003261104	BBRG ALL COMD K1	9,866	$239.6K	<0.1%	−1,015−9.3%	Reduced	–
UTFCohen & Steers Infrastructure Fund Inc	COM	9,271	$239.9K	<0.1%	+140+1.5%	Added	History
Doubleline ETF Trust25861R105	OPPO CORE BD ETF	5,245	$240.3K	<0.1%	−419−7.4%	Reduced	–
iShares Tr464287739	U.S. REAL ES ETF	2,541	$240.3K	<0.1%	+2,541	New	–
Fidelity Merrimack STR Tr316188853	MUN BD OPPORTUN	4,755	$240.6K	<0.1%	−393−7.6%	Reduced	–
WYWeyerhaeuser Co	COM NEW	9,866	$241.0K	<0.1%	−768−7.2%	Reduced	History
RCATRed Cat Holdings, Inc.	Stock	18,427	$241.2K	<0.1%	+3,593+24.2%	Added	History
iShares Tr464287770	U.S. FIN SVC ETF	2,928	$242.6K	<0.1%	−193−6.2%	Reduced	–
Innovator ETFs Trust45783Y251	EQUITY DEFINED P	8,373	$243.4K	<0.1%	−17,899−68.1%	Reduced	–
MFCManulife Financial Corp	COM	7,077	$243.7K	<0.1%	−97−1.4%	Reduced	History
Fidelity Merrimack STR Tr316188408	LOW DURTIN ETF	4,870	$243.7K	<0.1%	+47+1.0%	Added	–
iShares Esg Aware US Aggregate Bond ETF46435U549	ETF	5,132	$244.0K	<0.1%	+179+3.6%	Added	–
DRDDrdgold Ltd	SPON ADR REPSTG	8,315	$244.2K	<0.1%	−228−2.7%	Reduced	History
Vanguard Intl Equity Index F922042874	FTSE EUROPE ETF	2,965	$244.4K	<0.1%	+2,965	New	–
GIBCgi Inc	CL A	3,347	$244.7K	<0.1%	−11−0.3%	Reduced	History
Innovator ETFs Trust45783Y541	EQUITY DEF PROTN	8,337	$244.8K	<0.1%	00.0%	Unchanged	–
MNSTMonster Beverage Corp	COM	3,379	$244.8K	<0.1%	−18,330−84.4%	Reduced	History
Global X FDS37954Y848	GLOBAL X SILVER	2,723	$245.3K	<0.1%	+902+49.5%	Added	–
Innovator U.S. Equity Power Buffer ETF - October45782C797	ETF	5,694	$245.5K	<0.1%	−2,848−33.3%	Reduced	–
CPCanadian Pacific Kansas City Ltd	COM	3,130	$246.2K	<0.1%	−13−0.4%	Reduced	History
Innovator ETFs Trust45782C474	US SML CP PWR B	5,903	$246.3K	<0.1%	+833+16.4%	Added	–
LIVELive Ventures Inc	COM NEW	20,617	$246.4K	<0.1%	−32−0.2%	Reduced	History
Kraneshares Trust500767306	CSI CHI INTERNET	8,726	$248.1K	<0.1%	+53+0.6%	Added	–
Simplify Exchange Traded Fun82889N772	HEALTH CARE ETF	7,390	$248.8K	<0.1%	+347+4.9%	Added	–
PINSPinterest, Inc.	CL A	13,585	$249.2K	<0.1%	+13,585	New	History
Invesco Actively Managed Exc46090A689	QQQ INC ADV ETF	4,997	$249.3K	<0.1%	+1,211+32.0%	Added	–
Innovator ETFs Trust45782C342	US SML CP PWR ET	6,885	$249.6K	<0.1%	+148+2.2%	Added	–
ECEcopetrol S.A.	SPONSORED ADS	16,704	$250.4K	<0.1%	+16,704	New	History
AGOAssured Guaranty Ltd	COM	3,081	$251.0K	<0.1%	+99+3.3%	Added	History
iShares Tr46438G612	LARG CAP JUN ETF	8,928	$251.4K	<0.1%	+8,928	New	–
WTRGEssential Utilities, Inc.	COM	6,251	$251.7K	<0.1%	+315+5.3%	Added	History
iShares Tr464288273	EAFE SML CP ETF	3,215	$252.1K	<0.1%	−80−2.4%	Reduced	–
Innovator ETFs Tr45782C862	LOUP FRONTIER	3,669	$252.6K	<0.1%	−48−1.3%	Reduced	–
Vanguard Scottsdale FDS92206C565	TOTAL WLD BD ETF	3,696	$252.6K	<0.1%	+3,696	New	–
APOApollo Global Management, Inc.	COM	2,268	$252.7K	<0.1%	−497−18.0%	Reduced	History
IOTSamsara Inc.	Stock	7,993	$253.3K	<0.1%	−168−2.1%	Reduced	History
iShares Tr46435G474	FALN ANGLS USD	9,486	$253.5K	<0.1%	−630−6.2%	Reduced	–
RDDTReddit, Inc.	Stock	1,896	$255.3K	<0.1%	−4,771−71.6%	Reduced	History
CGTXCognition Therapeutics Inc	COM	337,765	$256.5K	<0.1%	+121,600+56.3%	Added	History
MKCMcCormick & Co Inc	Stock	5,086	$256.5K	<0.1%	−307−5.7%	Reduced	History
HPEHewlett Packard Enterprise Co	COM	10,814	$257.5K	<0.1%	−1,611−13.0%	Reduced	History
ETJEaton Vance Risk-Managed Diversified Equity Income Fund	COM	31,621	$258.3K	<0.1%	+61+0.2%	Added	History
CRSCarpenter Technology Corp	COM	656	$258.4K	<0.1%	+656	New	History
TDGTransDigm Group INC	COM	223	$258.7K	<0.1%	+64+40.3%	Added	History
MASMasco Corp	COM	4,305	$259.9K	<0.1%	−16−0.4%	Reduced	History
CQPCheniere Energy Partners, L.P.	COM UNIT	4,028	$260.3K	<0.1%	−191−4.5%	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