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Livermore
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Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2022 年第 1 季持倉

持倉截至 2022/3/31，2022/4/20 申報。只含多頭部位，變化是跟 2021 年第 4 季比股數。

機構總覽
持股檔數
1,346
較 2021 年第 4 季 −15
總值
$33.3 億
較 2021 年第 4 季 −$2.37 億 (−6.6%)
申報日
2022/4/20
SEC
Sigma Planning Corp 在 2022 年第 1 季的持倉
證券類別股數市值佔組合 %股數變化動作紀錄
ITRMIterum Therapeutics plcSHS11,500$4,000<0.1%00.0%不變歷史
Harbor Custom Development IN41150T124*W EXP 10/04/20212,000$4,000<0.1%+12,000新進–
Second Sight Med Prods Inc81362J126*W EXP 03/14/20219,056$5,000<0.1%00.0%不變–
RMTIRockwell Medical, Inc.COM14,320$7,000<0.1%+3,508+32.4%加碼歷史
AMPEAmpio Pharmaceuticals, Inc.COM19,848$9,000<0.1%+3,703+22.9%加碼歷史
REEDReed's, Inc.COM28,451$9,000<0.1%+700+2.5%加碼歷史
CFORCapForce Inc.COM17,500$1.30 萬<0.1%+5,000+40.0%加碼歷史
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$1.70 萬<0.1%00.0%不變歷史
WPRTWestport Fuel Systems Inc.COM NEW11,400$1.80 萬<0.1%+11,400新進歷史
CBIOCrescent Biopharma, Inc.COM18,000$2.10 萬<0.1%+18,000新進歷史
HCDIHarbor Custom Development, Inc.COM10,000$2.30 萬<0.1%+10,000新進歷史
LOGCContextLogic Inc.COM CL A10,500$2.40 萬<0.1%00.0%不變歷史
STEXStreamex Corp.COM NEW22,000$2.50 萬<0.1%+4,500+25.7%加碼歷史
New Gold Inc Cda644535106COM13,730$2.50 萬<0.1%00.0%不變–
ZOMDFZomedica Corp.COM80,250$2.70 萬<0.1%−14,200−15.0%減碼歷史
ONCTOncternal Therapeutics, Inc.COM20,025$2.80 萬<0.1%+500+2.6%加碼歷史
HIVEHIVE Digital Technologies Ltd.COM13,665$2.90 萬<0.1%+2,558+23.0%加碼歷史
ABUSArbutus Biopharma CorpCOM11,000$3.30 萬<0.1%00.0%不變歷史
AGENAgenus IncCOM NEW13,800$3.40 萬<0.1%00.0%不變歷史
HOFVHall of Fame Resort & Entertainment CoCOM30,800$3.40 萬<0.1%+30,800新進歷史
NNDMNano Dimension Ltd.SPONSORD ADS NEW10,195$3.60 萬<0.1%+188+1.9%加碼歷史
CLOVClover Health Investments, Corp.COM CL A10,950$3.90 萬<0.1%−1,000−8.4%減碼歷史
PLGPlatinum Group Metals LtdCOM18,500$3.90 萬<0.1%00.0%不變歷史
EVGNEvogene Ltd.SHS31,410$4.10 萬<0.1%+14,700+88.0%加碼歷史
LYGLloyds Banking Group plcSPONSORED ADR19,527$4.70 萬<0.1%−4,865−19.9%減碼歷史
Bitfarms Ltd Com09173B107Stock13,481$5.10 萬<0.1%+100+0.7%加碼–
OPKOpko Health, Inc.COM15,402$5.30 萬<0.1%00.0%不變歷史
TELLTellurian Inc.COM10,830$5.70 萬<0.1%+10,830新進歷史
IBRXImmunityBio, Inc.COM10,450$5.90 萬<0.1%+10,450新進歷史
NSLNuveen Senior Income FundCOM10,365$5.90 萬<0.1%00.0%不變歷史
AQMSAqua Metals, Inc.COM40,690$6.10 萬<0.1%−355−0.9%減碼歷史
IVRInvesco Mortgage Capital Inc.COM26,748$6.10 萬<0.1%−1,940−6.8%減碼歷史
GTBPGT Biopharma, Inc.COM NEW21,400$6.20 萬<0.1%+21,400新進歷史
RIGTransocean Ltd.REGISTERED SHS14,084$6.40 萬<0.1%−514−3.5%減碼歷史
CLVSClovis Oncology, Inc.COM31,498$6.40 萬<0.1%+18,249+137.7%加碼歷史
OGIOrganigram Global Inc.COM38,488$6.40 萬<0.1%−1,790−4.4%減碼歷史
HUTHut 8 Corp.Common Stock12,301$6.80 萬<0.1%+495+4.2%加碼歷史
SQFTPresidio Property Trust, Inc.COM CL A18,531$6.90 萬<0.1%−1,224−6.2%減碼歷史
JQCNuveen Credit Strategies Income FundCOM SHS11,718$7.20 萬<0.1%−992−7.8%減碼歷史
SERSerina Therapeutics, Inc.COM87,650$7.50 萬<0.1%−550−0.6%減碼歷史
OXSQOxford Square Capital Corp.COM17,920$7.50 萬<0.1%−5,109−22.2%減碼歷史
SDCSmileDirectClub, Inc.CL A COM29,034$7.50 萬<0.1%+29,034新進歷史
Portage Biotech IncG7185A128COM11,388$7.50 萬<0.1%+11,388新進–
Prospect Cap Corp74348TAR3NOTE 4.950% 7/179,000$8.00 萬<0.1%+31,000+64.6%加碼–
IAFAbrdn Australia Equity Fund, Inc.COM12,821$8.10 萬<0.1%−5,100−28.5%減碼歷史
SWNSouthwestern Energy CoCOM11,600$8.30 萬<0.1%−20,950−64.4%減碼歷史
VVRInvesco Senior Income TrustCOM19,680$8.40 萬<0.1%+2,474+14.4%加碼歷史
EZPWEzcorp IncCL A NON VTG14,105$8.50 萬<0.1%+1,003+7.7%加碼歷史
ORCOrchid Island Capital, Inc.COM26,031$8.50 萬<0.1%+12,031+85.9%加碼歷史
REIRing Energy, Inc.COM22,700$8.70 萬<0.1%+22,700新進歷史
NOKNokia CorpSPONSORED ADR16,071$8.80 萬<0.1%−332−2.0%減碼歷史
ANGIAngi Inc.COM CL A NEW15,700$8.90 萬<0.1%+950+6.4%加碼歷史
MNTSMomentus Inc.COM CL A28,775$9.20 萬<0.1%+12,525+77.1%加碼歷史
CDECoeur Mining, Inc.COM NEW22,350$9.90 萬<0.1%−642−2.8%減碼歷史
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,307$10.0 萬<0.1%+10,307新進歷史
TTITetra Technologies IncCOM24,481$10.1 萬<0.1%00.0%不變歷史
MBRXMoleculin Biotech, Inc.COM57,500$10.2 萬<0.1%+14,500+33.7%加碼歷史
XCURExicure, Inc.COM519,500$10.4 萬<0.1%+349,800+206.1%加碼歷史
Swedish Expt CR Corp870297801ROG TTL ETN 2212,120$10.6 萬<0.1%+12,120新進–
IGRCbre Global Real Estate Income FundCOM11,849$10.7 萬<0.1%+54+0.5%加碼歷史
NIMNuveen Select Maturities Municipal FundSH BEN INT11,282$10.8 萬<0.1%+11,282新進歷史
MFAMfa Financial, Inc.COM26,787$10.8 萬<0.1%+88+0.3%加碼歷史
LNDBrasilAgro - Brazilian Agricultural Real Estate CoSPONSORED ADR16,300$11.0 萬<0.1%+16,300新進歷史
RWTRedwood Trust IncCOM10,500$11.1 萬<0.1%+500+5.0%加碼歷史
CGCCanopy Growth CorpCOM14,633$11.1 萬<0.1%−74−0.5%減碼歷史
BTGB2GOLD CorpCOM24,480$11.2 萬<0.1%−156,905−86.5%減碼歷史
PNTPOINT Biopharma Global Inc.COM14,715$11.7 萬<0.1%−100−0.7%減碼歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM35,662$12.1 萬<0.1%+20,090+129.0%加碼歷史
TLRYTilray Brands, Inc.COM CL 215,721$12.2 萬<0.1%−831−5.0%減碼歷史
LTRNLantern Pharma Inc.COM17,600$12.6 萬<0.1%00.0%不變歷史
SIRISirius XM Holdings Inc.COM19,338$12.8 萬<0.1%+618+3.3%加碼歷史
DNOWDNOW Inc.COM12,059$13.3 萬<0.1%+12,059新進歷史
WTIW&T Offshore IncCOM34,700$13.3 萬<0.1%+34,700新進歷史
EVGOEVgo Inc.CL A COM10,427$13.4 萬<0.1%+10,427新進歷史
Advisorshares Tr00768Y495PURE CANNABIS12,942$13.8 萬<0.1%−475−3.5%減碼–
Adamas Trust, Inc.649604501COM PAR $.0241,494$15.1 萬<0.1%+437+1.1%加碼–
RCMTRCM Technologies, Inc.COM NEW15,800$15.6 萬<0.1%+15,800新進歷史
GABGabelli Equity Trust IncCOM23,169$16.1 萬<0.1%−400−1.7%減碼歷史
CIMChimera Investment CorpCOM NEW13,759$16.6 萬<0.1%+3,054+28.5%加碼歷史
NIDNuveen Intermediate Duration Municipal Term FundCOM12,000$16.6 萬<0.1%+1,362+12.8%加碼歷史
Two Harbors Investment Corp.90187B408COM NEW30,791$17.0 萬<0.1%+12,456+67.9%加碼–
EFREaton Vance Senior Floating-Rate TrustCOM12,843$17.2 萬<0.1%+761+6.3%加碼歷史
NAVINavient CorpCOM10,152$17.3 萬<0.1%−1,128−10.0%減碼歷史
HPEHewlett Packard Enterprise CoCOM10,479$17.5 萬<0.1%+10,479新進歷史
ABRArbor Realty Trust IncCOM10,326$17.6 萬<0.1%+10,326新進歷史
AWPabrdn Global Premier Properties FundCOM SH BEN INT27,507$17.7 萬<0.1%−25,770−48.4%減碼歷史
SWBISmith & Wesson Brands, Inc.COM11,817$17.9 萬<0.1%+680+6.1%加碼歷史
VMOInvesco Municipal Opportunity TrustCOM15,590$17.9 萬<0.1%+196+1.3%加碼歷史
VODVodafone Group Public Ltd CoADR10,970$18.2 萬<0.1%−1,687−13.3%減碼歷史
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$18.5 萬<0.1%00.0%不變–
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT19,400$18.6 萬<0.1%+59+0.3%加碼歷史
KIOKKR Income Opportunities FundCOM12,917$18.6 萬<0.1%−705−5.2%減碼歷史
CF Acquisition Corp VI12521J103COM CL A16,045$19.0 萬<0.1%−73,483−82.1%減碼–
TWITitan International IncCOM13,050$19.2 萬<0.1%−17,450−57.2%減碼歷史
ARLPAlliance Resource Partners LPStock12,600$19.4 萬<0.1%+12,600新進歷史
Health Assurn Acquisition Co42226W208UNIT 99/99/999919,575$19.5 萬<0.1%−625−3.1%減碼–
NVGNuveen AMT-Free Municipal Credit Income FundCEF13,413$19.8 萬<0.1%−687−4.9%減碼歷史
DXCMDexcom IncCOM391$20.0 萬<0.1%+12+3.2%加碼歷史
EXPDExpeditors International of Washington IncCOM1,941$20.0 萬<0.1%−509−20.8%減碼歷史
Invesco Exchange Traded FD T46137V142WATER RES ETF3,796$20.1 萬<0.1%+85+2.3%加碼–

選擇權（14 檔）

同一份申報裡的賣權（put）與買權（call）。金額是標的股票的市值，也就是 13F 申報的數字。

Sigma Planning Corp 在 2022 年第 1 季的選擇權部位
證券類別賣權買權
SPYSPDR S&P 500 ETF TrustETF$121.9 萬$90.3 萬
TSLATesla, Inc.Stock$32.3 萬$53.9 萬
GOOGAlphabet Inc.Stock–$83.8 萬
State Street Technology Select Sector SPDR ETF81369Y803ETF–$79.5 萬
AMZNAmazon Com IncStock–$65.2 萬
MSFTMicrosoft CorpStock–$49.3 萬
BABoeing CoStock–$30.6 萬
FDXFedEx CorpStock–$27.8 萬
NFLXNetflix IncStock–$26.2 萬
MRNAModerna, Inc.Stock$25.8 萬–
AAPLApple Inc.Stock–$22.7 萬
CRMSalesforce, Inc.Stock–$21.2 萬
NIONIO Inc.ADR–$21.1 萬
NLYAnnaly Capital Management IncCOM–$7.00 萬

2021 年第 4 季之後清倉（144 檔）

2021 年第 4 季季末還持有、這份申報已經沒有的部位。

依上一季市值列出前 100 檔，共 144 檔。

Sigma Planning Corp 在 2021 年第 4 季之後清倉的部位
證券類別2021 年第 4 季股數2021 年第 4 季市值2021 年第 4 季佔組合 %紀錄
iShares Tr464288117INTL TREA BD ETF59,794$300.7 萬0.1%–
ETF Managers Tr26924G409PRIME MOBILE PAY28,090$163.1 萬<0.1%–
Kraneshares Trust500767405BOSERA MSCI CHIN29,575$128.4 萬<0.1%–
GTMZoomInfo Technologies Inc.Stock17,593$112.9 萬<0.1%歷史
AFRMAffirm Holdings, Inc.COM CL A11,198$112.6 萬<0.1%歷史
UCTTUltra Clean Holdings, Inc.COM13,417$77.0 萬<0.1%歷史
American Centy ETF Tr025072810FOCUSED DYNAMIC9,123$73.7 萬<0.1%–
NMRKNewmark Group, Inc.CL A37,895$70.9 萬<0.1%歷史
CENXCentury Aluminum CoCOM42,550$70.5 萬<0.1%歷史
OGNOrganon & Co.Stock21,141$64.4 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD24,853$64.4 萬<0.1%–
FSLYFastly, Inc.CL A18,118$64.2 萬<0.1%歷史
ZGNXZogenix, Inc.COM NEW39,060$63.5 萬<0.1%歷史
iShares Tr46435G268RUSEL 2500 ETF9,469$62.9 萬<0.1%–
AMHAmerican Homes 4 RentCL A14,328$62.5 萬<0.1%歷史
SNDRSchneider National, Inc.CL B22,790$61.3 萬<0.1%歷史
TITNTitan Machinery Inc.COM17,871$60.2 萬<0.1%歷史
UAUnder Armour, Inc.CL C32,231$58.1 萬<0.1%歷史
ARCHArch Resources, Inc.CL A6,255$57.1 萬<0.1%歷史
ALGMAllegro Microsystems, Inc.COM15,711$56.8 萬<0.1%歷史
BOOTBoot Barn Holdings, Inc.COM4,563$56.1 萬<0.1%歷史
First Tr Exchange-Traded FD33739Q507SSI STRG ETF12,857$53.2 萬<0.1%–
INMDInMode Ltd.SHS7,485$52.8 萬<0.1%歷史
GLDMWorld Gold TrustSPDR GLD MINIS28,946$52.6 萬<0.1%歷史
First Tr Exchng Traded FD VI33740F847FT VEST US EQT13,445$52.4 萬<0.1%–
GPNGlobal Payments IncStock3,623$49.0 萬<0.1%歷史
iShares Tr464288182MSCI AC ASIA ETF5,906$48.9 萬<0.1%–
Royal Dutch Shell PLC780259206SPONS ADR A11,243$48.8 萬<0.1%–
WUWestern Union COStock26,870$47.9 萬<0.1%歷史
WisdomTree Tr97717W844GLOB EX US QU FD10,953$47.7 萬<0.1%–
PHGKoninklijke Philips NVNY REGIS SHS NEW12,240$45.1 萬<0.1%歷史
FLYYSpirit Aviation Holdings, Inc.COM20,600$45.0 萬<0.1%歷史
First Tr Exchange-Traded FD33734X176TECH ALPHADEX3,343$44.1 萬<0.1%–
SHAKShake Shack Inc.CL A5,763$41.6 萬<0.1%歷史
AXSAxis Capital Holdings LtdSHS7,626$41.5 萬<0.1%歷史
CSQCalamos Strategic Total Return FundCOM SH BEN INT21,187$40.9 萬<0.1%歷史
Flexshares Tr33939L696STOX US ESG SLCT3,473$40.4 萬<0.1%–
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD15,641$40.1 萬<0.1%歷史
MUABlackRock Muniassets Fund, Inc.COM26,233$39.0 萬<0.1%歷史
MGNXMacrogenics IncCOM23,310$37.4 萬<0.1%歷史
CEFSprott Physical Gold & Silver TrustPHYSICAL GOLD AN20,039$35.5 萬<0.1%歷史
ANSSAnsys IncCOM867$34.8 萬<0.1%歷史
Innovator ETFs Trust45782C722INTRNL DEV JULY13,610$33.4 萬<0.1%–
Fidelity Merrimack STR Tr316188101CORP BOND ETF6,050$33.3 萬<0.1%–
ECOMChanneladvisor CorpCOM13,502$33.3 萬<0.1%歷史
PRGOPERRIGO Co plcSHS8,455$32.9 萬<0.1%歷史
RESNResonant IncCOM190,900$32.6 萬<0.1%歷史
IEXIdex CorpCOM1,363$32.2 萬<0.1%歷史
RUNSunrun Inc.COM9,349$32.1 萬<0.1%歷史
VanEck ETF Trust92189H201INTRMDT MUNI ETF6,246$32.0 萬<0.1%–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF6,668$31.6 萬<0.1%–
KMXCarMax IncCOM2,399$31.2 萬<0.1%歷史
RGENRepligen CorpCOM1,164$30.8 萬<0.1%歷史
iShares MSCI India ETF46429B598ETF6,617$30.3 萬<0.1%–
VanEck ETF Trust92189H300JP MRGAN EM LOC10,525$30.1 萬<0.1%–
TRUPTrupanion, Inc.COM2,274$30.0 萬<0.1%歷史
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM10,406$29.8 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138G631NASDAQNXTGEN1008,789$29.5 萬<0.1%–
LWLamb Weston Holdings, Inc.Stock4,581$29.0 萬<0.1%歷史
BBWIBath & Body Works, Inc.COM4,078$28.5 萬<0.1%歷史
BJBJ's Wholesale Club Holdings, Inc.COM4,246$28.4 萬<0.1%歷史
TWTradeweb Markets Inc.Stock2,815$28.2 萬<0.1%歷史
Global X FDS37950E549GLB X SUPERDIV22,970$28.2 萬<0.1%–
QRVOQorvo, Inc.Stock1,779$27.8 萬<0.1%歷史
STEMStem, Inc.CL A14,614$27.7 萬<0.1%歷史
MASMasco CorpCOM3,934$27.6 萬<0.1%歷史
RHRHCOM501$26.9 萬<0.1%歷史
JCIJohnson Controls International plcStock3,238$26.3 萬<0.1%歷史
PNWPinnacle West Capital CorpCOM3,712$26.2 萬<0.1%歷史
HCAHCA Healthcare, Inc.COM1,015$26.1 萬<0.1%歷史
First Tr Exchange-Traded FD33738D408FIRST TR TA HIYL5,428$26.0 萬<0.1%–
Invesco Actively Managed Exc46090A804TOTAL RETURN4,506$25.4 萬<0.1%–
EXTRExtreme Networks IncCOM16,038$25.2 萬<0.1%歷史
BWBabcock & Wilcox Enterprises, Inc.COM27,700$25.0 萬<0.1%歷史
EXASExact Sciences CorpCOM3,199$24.9 萬<0.1%歷史
HOLXHologic IncCOM3,254$24.9 萬<0.1%歷史
NDAQNasdaq, Inc.COM1,177$24.7 萬<0.1%歷史
EBAYeBay IncCOM3,708$24.7 萬<0.1%歷史
iShares Tr46435U192GENOMICS IMMUN5,603$24.5 萬<0.1%–
MDCSekisui House U.S., Inc.COM4,392$24.5 萬<0.1%歷史
LPXLouisiana-Pacific CorpCOM3,120$24.4 萬<0.1%歷史
CIENCiena CorpCOM NEW3,163$24.3 萬<0.1%歷史
DOCHealthpeak Properties, Inc.COM6,706$24.2 萬<0.1%歷史
SPDR Index Shs FDS78463X202ST STR EU 50 ETF5,194$24.2 萬<0.1%–
CDMOAvid Bioservices, Inc.COM8,300$24.2 萬<0.1%歷史
NVAXNovavax IncCOM NEW1,685$24.1 萬<0.1%歷史
PTCPTC Inc.Stock1,973$23.9 萬<0.1%歷史
DBX ETF Tr233051820XTRACK MSCI ALL7,096$23.9 萬<0.1%–
Tidal Trust I886364405SOFI SOCIAL 506,300$23.7 萬<0.1%–
WisdomTree Tr97717W703INTL EQUITY FD4,360$23.6 萬<0.1%–
TRIThomson Reuters CorpCOM NEW1,969$23.6 萬<0.1%歷史
First Tr Exchng Traded FD VI33740U109TCW SECURITIZED9,108$23.4 萬<0.1%–
iShares Tr464289479CORE LT USDB ETF3,215$23.2 萬<0.1%–
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF13,524$23.2 萬<0.1%–
iShares Tr46428951110+ YR INVST GRD3,333$23.2 萬<0.1%–
MTCHMatch Group, Inc.COM1,748$23.1 萬<0.1%歷史
SPDR Series Trust78464A516ST INTL BBG ETF8,078$22.8 萬<0.1%–
FTVFortive CorpStock2,979$22.7 萬<0.1%歷史
DPZDominos Pizza IncCOM401$22.7 萬<0.1%歷史
AESAES CorpStock9,316$22.6 萬<0.1%歷史