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Livermore
Livermore
中文EN

Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2022 年第 4 季持倉

持倉截至 2022/12/31，2023/1/24 申報。只含多頭部位，變化是跟 2022 年第 3 季比股數。

機構總覽
持股檔數
1,258
較 2022 年第 3 季 +7
總值
$28.0 億
較 2022 年第 3 季 +$1.83 億 (+7.0%)
申報日
2023/1/24
SEC
Sigma Planning Corp 在 2022 年第 4 季的持倉
證券類別股數市值佔組合 %股數變化動作紀錄
Avaya Hldgs Corp05351XAB7NOTE 2.250% 6/120,000$750<0.1%00.0%不變–
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20216,420$903<0.1%−1,032−5.9%減碼歷史
REEDReed's, Inc.COM29,565$2,064<0.1%−880−2.9%減碼歷史
CFORCapForce Inc.COM17,500$2,468<0.1%00.0%不變歷史
AYTUAytu Biopharma, IncCOM NEW16,996$3,212<0.1%00.0%不變歷史
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$3,536<0.1%00.0%不變歷史
LOGCContextLogic Inc.COM CL A10,500$5,121<0.1%00.0%不變歷史
APPHAppHarvest, Inc.COM12,037$6,830<0.1%+12,037新進歷史
HCDIHarbor Custom Development, Inc.COM18,503$6,859<0.1%+2,000+12.1%加碼歷史
HLGNHeliogen, Inc.COMMON STOCK11,433$7,983<0.1%+11,433新進歷史
WPRTWestport Fuel Systems Inc.COM NEW12,400$9,608<0.1%−800−6.1%減碼歷史
CLOVClover Health Investments, Corp.COM CL A10,700$9,946<0.1%00.0%不變歷史
SDCSmileDirectClub, Inc.CL A COM29,284$1.03 萬<0.1%00.0%不變歷史
STEXStreamex Corp.COM NEW29,000$1.22 萬<0.1%00.0%不變歷史
ZOMDFZomedica Corp.COM81,750$1.33 萬<0.1%00.0%不變歷史
TELLTellurian Inc.COM10,730$1.80 萬<0.1%−3,600−25.1%減碼歷史
GTBPGT Biopharma, Inc.COM NEW21,395$1.90 萬<0.1%00.0%不變歷史
AMRSAmyris, Inc.COM NEW12,437$1.90 萬<0.1%−150−1.2%減碼歷史
OPKOpko Health, Inc.COM15,402$1.93 萬<0.1%00.0%不變歷史
NVTAInvitae CorpCOM10,722$1.99 萬<0.1%+30+0.3%加碼歷史
ONCTOncternal Therapeutics, Inc.COM20,025$2.00 萬<0.1%00.0%不變歷史
EVGNEvogene Ltd.SHS45,363$3.18 萬<0.1%00.0%不變歷史
PLGPlatinum Group Metals LtdCOM18,500$3.22 萬<0.1%00.0%不變歷史
CGCCanopy Growth CorpCOM14,250$3.29 萬<0.1%−50−0.3%減碼歷史
OGIOrganigram Global Inc.COM45,981$3.68 萬<0.1%−1,500−3.2%減碼歷史
MNTSMomentus Inc.COM CL A47,775$3.73 萬<0.1%00.0%不變歷史
Advisorshares Tr00768Y495PURE CANNABIS11,068$3.98 萬<0.1%−456−4.0%減碼–
TTITetra Technologies IncCOM12,331$4.27 萬<0.1%00.0%不變歷史
AQMSAqua Metals, Inc.COM36,000$4.50 萬<0.1%−5,150−12.5%減碼歷史
NSLNuveen Senior Income FundCOM10,365$4.76 萬<0.1%00.0%不變歷史
Western Digital Corp958102AP0NOTE 1.500% 2/051,000$4.86 萬<0.1%00.0%不變–
BTGB2GOLD CorpCOM14,480$5.17 萬<0.1%+215+1.5%加碼歷史
IBRXImmunityBio, Inc.COM11,050$5.60 萬<0.1%+300+2.8%加碼歷史
TLRYTilray Brands, Inc.COM CL 221,010$5.65 萬<0.1%+2,119+11.2%加碼歷史
IAFAbrdn Australia Equity Fund, Inc.COM12,885$5.66 萬<0.1%00.0%不變歷史
MBRXMoleculin Biotech, Inc.COM57,500$6.09 萬<0.1%00.0%不變歷史
OXSQOxford Square Capital Corp.COM19,620$6.12 萬<0.1%+585+3.1%加碼歷史
Portage Biotech IncG7185A128COM11,858$6.27 萬<0.1%+170+1.5%加碼–
BRSPBrightSpire Capital, Inc.COM CL A10,702$6.67 萬<0.1%+10,702新進歷史
IAGIamgold CorpCOM26,853$6.93 萬<0.1%+26,853新進歷史
Harbor Custom Development IN41150T2078% CONV PFD SR A10,800$6.97 萬<0.1%+500+4.9%加碼–
RWTRedwood Trust IncCOM10,564$7.14 萬<0.1%+38+0.4%加碼歷史
EVGOEVgo Inc.CL A COM16,031$7.17 萬<0.1%−685−4.1%減碼歷史
NKLANikola CorpCOM33,209$7.17 萬<0.1%+8,050+32.0%加碼歷史
CHSChico's Fas, Inc.COM15,000$7.38 萬<0.1%+3,500+30.4%加碼歷史
IGRCbre Global Real Estate Income FundCOM12,995$7.45 萬<0.1%+26+0.2%加碼歷史
SERSerina Therapeutics, Inc.COM134,977$7.45 萬<0.1%+17,777+15.2%加碼歷史
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,373$7.83 萬<0.1%+73+0.7%加碼歷史
RIGTransocean Ltd.REGISTERED SHS17,409$7.94 萬<0.1%+120+0.7%加碼歷史
HOODRobinhood Markets, Inc.Stock10,429$8.49 萬<0.1%+10,429新進歷史
NOKNokia CorpSPONSORED ADR19,086$8.86 萬<0.1%−331−1.7%減碼歷史
QSQuantumScape CorpCOM CL A15,741$8.93 萬<0.1%+821+5.5%加碼歷史
BBDCBarings BDC, Inc.COM10,998$8.96 萬<0.1%−1,260−10.3%減碼歷史
MTTRMatterport, Inc.COM CL A32,133$9.00 萬<0.1%−13,327−29.3%減碼歷史
NIMNuveen Select Maturities Municipal FundSH BEN INT10,239$9.28 萬<0.1%−1,150−10.1%減碼歷史
AGFirst Majestic Silver CorpCOM11,360$9.48 萬<0.1%−37,645−76.8%減碼歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM36,736$9.66 萬<0.1%−3,424−8.5%減碼歷史
MUXMcEwen Inc.COM NEW17,030$9.98 萬<0.1%+17,030新進歷史
HNRGHallador Energy CoStock10,000$9.99 萬<0.1%00.0%不變歷史
Advisorshares Tr00768Y453PURE US CANN ETF14,382$10.1 萬<0.1%+789+5.8%加碼–
TALTAL Education GroupSPONSORED ADS14,600$10.3 萬<0.1%+14,600新進歷史
TPICQTpi Composites, IncCOM10,201$10.3 萬<0.1%00.0%不變歷史
LTRNLantern Pharma Inc.COM17,300$10.4 萬<0.1%−200−1.1%減碼歷史
TFFPTFF Pharmaceuticals, Inc.COM100,891$10.6 萬<0.1%+24,000+31.2%加碼歷史
JPCNuveen Preferred & Income Opportunities FundCOM14,653$10.7 萬<0.1%+1,052+7.7%加碼歷史
EZPWEzcorp IncCL A NON VTG13,170$10.7 萬<0.1%−817−5.8%減碼歷史
AWPabrdn Global Premier Properties FundCOM SH BEN INT27,650$10.8 萬<0.1%−1,889−6.4%減碼歷史
RUMRUM Group Inc.Stock18,166$10.8 萬<0.1%+2,205+13.8%加碼歷史
FCELFuelcell Energy IncCOM39,350$10.9 萬<0.1%+1,135+3.0%加碼歷史
CIMChimera Investment CorpCOM NEW20,056$11.0 萬<0.1%+436+2.2%加碼歷史
SWBISmith & Wesson Brands, Inc.COM12,767$11.1 萬<0.1%+820+6.9%加碼歷史
PCTPureCycle Technologies, Inc.COM16,642$11.3 萬<0.1%+3,912+30.7%加碼歷史
EDITEditas Medicine, Inc.COM12,704$11.3 萬<0.1%−3,911−23.5%減碼歷史
SOFISoFi Technologies, Inc.Stock24,475$11.3 萬<0.1%+2,613+12.0%加碼歷史
VVRInvesco Senior Income TrustCOM29,527$11.3 萬<0.1%+8,624+41.3%加碼歷史
SIRISirius XM Holdings Inc.COM19,702$11.5 萬<0.1%+57+0.3%加碼歷史
PLTRPalantir Technologies Inc.Stock18,066$11.6 萬<0.1%+1,255+7.5%加碼歷史
HEQJohn Hancock Diversified Income FundCOM10,217$11.8 萬<0.1%00.0%不變歷史
XXII22nd Century Group, Inc.COM127,700$11.8 萬<0.1%+42,100+49.2%加碼歷史
VMOInvesco Municipal Opportunity TrustCOM12,221$12.1 萬<0.1%+35+0.3%加碼歷史
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT15,723$12.3 萬<0.1%+43+0.3%加碼歷史
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS13,483$12.3 萬<0.1%00.0%不變歷史
ATOMAtomera IncCOM20,675$12.9 萬<0.1%+575+2.9%加碼歷史
GABGabelli Equity Trust IncCOM24,058$13.2 萬<0.1%+549+2.3%加碼歷史
JMIAJumia Technologies AGSPONSORED ADS41,891$13.4 萬<0.1%+2,327+5.9%加碼歷史
NVGNuveen AMT-Free Municipal Credit Income FundCEF11,270$13.7 萬<0.1%−1,886−14.3%減碼歷史
EIGREiger BioPharmaceuticals, Inc.COM116,300$13.7 萬<0.1%+52,350+81.9%加碼歷史
RIOTRiot Platforms, Inc.COM40,602$13.8 萬<0.1%+2,918+7.7%加碼歷史
MDNAFMedicenna Therapeutics Corp.COM302,550$13.9 萬<0.1%+39,500+15.0%加碼歷史
EVVEaton Vance Ltd Duration Income FundCOM14,826$13.9 萬<0.1%−1,373−8.5%減碼歷史
NMCONuveen Municipal Credit Opportunities FundCOM12,902$14.2 萬<0.1%+12,902新進歷史
DCGODocGo Inc.COM20,200$14.3 萬<0.1%+6,000+42.3%加碼歷史
CMLSQCumulus Media IncCOM CL A23,222$14.4 萬<0.1%+400+1.8%加碼歷史
Fidelity Covington Trust316092337FIDELITY FUND LR11,657$14.8 萬<0.1%+440+3.9%加碼–
GFNew Germany Fund IncCOM19,326$15.2 萬<0.1%00.0%不變歷史
RQICohen & Steers Quality Income Realty Fund IncCEF13,277$15.3 萬<0.1%+101+0.8%加碼歷史
SBSWSibanye Stillwater LtdSPONSORED ADR14,422$15.4 萬<0.1%+14,422新進歷史
Amplify Blockchain Technology ETF032108607ETF10,354$15.7 萬<0.1%−1,046−9.2%減碼–
EFREaton Vance Senior Floating-Rate TrustCOM14,522$15.9 萬<0.1%−1,657−10.2%減碼歷史
CPZCalamos Long/Short Equity & Dynamic Income TrustCOM10,500$15.9 萬<0.1%−100−0.9%減碼歷史

選擇權（3 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 4 季的選擇權部位
證券類別賣權買權
ProShares Tr74347X831ULTRAPRO QQQ–$476
VTNRVertex Energy Inc.COM–$71
FCELFuelcell Energy IncCOM–$35

2022 年第 3 季之後清倉（97 檔）

2022 年第 3 季季末還持有、這份申報已經沒有的部位。

Sigma Planning Corp 在 2022 年第 3 季之後清倉的部位
證券類別2022 年第 3 季股數2022 年第 3 季市值2022 年第 3 季佔組合 %紀錄
Invesco Exch TRD SLF Idx FD46138J882BULSHS 2022 CB386,373$818.3 萬0.3%–
Victory Portfolios II92647N782VCSHS US 500 ENH52,859$339.1 萬0.1%–
Invesco Bulletshares 2022 HY Bd (BSJM)46138J874BULSHS 2022 HY114,256$251.0 萬0.1%–
First Tr Exchng Traded FD VI33740F789MLT MNGD LRG GRW126,347$205.5 萬0.1%–
First Tr Exchange-Traded Alp33737M409SML CAP VAL ALPH46,741$189.3 萬0.1%–
First Tr Exchange-Traded FD33734X184UTILITIES ALPH43,834$133.9 萬0.1%–
Kraneshares Tr500767736QUADRTC INT RT55,887$123.8 萬<0.1%–
First Tr Exchange Traded FD33738R662INTL DEV STRNGTH43,272$112.3 萬<0.1%–
iShares Tr46434VBA7IBONDS DEC22 ETF36,068$90.3 萬<0.1%–
DBAInvesco DB Agriculture FundAGRICULTURE FD42,066$84.2 萬<0.1%歷史
Invesco Exch TRD SLF Idx FD46138J676BULLSHS 22 USD33,560$80.2 萬<0.1%–
CELHCelsius Holdings, Inc.COM NEW8,710$79.0 萬<0.1%歷史
AXONAxon Enterprise, Inc.COM6,619$76.6 萬<0.1%歷史
Timothy Plan887432284US LARGE MID CP31,058$72.4 萬<0.1%–
iShares Tr46436E809IBONDS 22 TRM TS25,281$64.2 萬<0.1%–
HBIHanesbrands Inc.COM86,569$60.3 萬<0.1%歷史
Kraneshares Tr500767587QUADRATIC DEFLA27,687$60.1 萬<0.1%–
GLNGGolar LNG LtdSHS21,279$53.0 萬<0.1%歷史
Innovator ETFs Tr45782C862LOUP FRONTIER16,326$43.8 萬<0.1%–
BHVNBiohaven Ltd.COM2,781$42.0 萬<0.1%歷史
First Tr Exchange-Traded FD336920103US EQTY OPPT ETF5,115$41.5 萬<0.1%–
SICPSilvergate Capital CorpCL A5,498$41.4 萬<0.1%歷史
Invesco Exch TRD SLF Idx FD46138J775BLOO PRI PWR ETF6,772$40.8 萬<0.1%–
NWLNewell Brands Inc.Stock29,030$40.3 萬<0.1%歷史
CECelanese CorpStock4,451$40.2 萬<0.1%歷史
TREXTrex Co IncCOM8,755$38.5 萬<0.1%歷史
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF7,752$37.6 萬<0.1%–
COINCoinbase Global, Inc.COM CL A5,711$36.8 萬<0.1%歷史
FNVFranco Nevada CorpStock3,032$36.2 萬<0.1%歷史
LACLithium Americas Corp.COM NEW13,523$35.5 萬<0.1%歷史
Innovator ETFs Tr45782C763IBD BREAKOUT12,594$35.3 萬<0.1%–
FBCFlagstar Bancorp IncCOM PAR .00110,260$34.3 萬<0.1%歷史
First Tr Exchange-Traded FD33734X101CONSUMR DISCRE7,731$33.3 萬<0.1%–
CCJCameco CorpStock12,471$33.1 萬<0.1%歷史
Franklin Templeton ETF Tr35473P595SENIOR LOAN ETF14,251$32.8 萬<0.1%–
Northern LTS FD Tr IV66538H591MAIN SECTR ROTN9,084$32.3 萬<0.1%–
TWTRTwitter, Inc.COM7,172$31.4 萬<0.1%歷史
ICLRIcon PLCCOM1,601$29.4 萬<0.1%歷史
Invesco Exchange Traded FD T46137V837DORS WRI MOM ETF4,333$29.3 萬<0.1%–
ALLYAlly Financial Inc.Stock10,217$28.4 萬<0.1%歷史
WisdomTree Tr97717Y683ENHNCD CMMDTY ST13,239$28.2 萬<0.1%–
iShares Tr464287127MORNINGSTR US EQ5,713$28.2 萬<0.1%–
AEMAgnico Eagle Mines LtdStock6,647$28.1 萬<0.1%歷史
Nushares ETF Tr67092P607NUVEEN ESG SMLCP8,344$26.8 萬<0.1%–
Invesco Exchange Traded FD T46137V498S&P SMLCP MOMENT6,014$26.1 萬<0.1%–
Ssga Active Tr78470P408STATE STREET US7,204$25.9 萬<0.1%–
CRSPCRISPR Therapeutics AGNAMEN AKT3,918$25.6 萬<0.1%歷史
SPDR Series Trust78468R556SP O&G EXPL PRO2,043$25.5 萬<0.1%–
DNUTKrispy Kreme, Inc.COM21,767$25.1 萬<0.1%歷史
BIDUBaidu, Inc.ADR2,122$24.9 萬<0.1%歷史
LITSLite Strategy, Inc.COM NEW641,050$24.8 萬<0.1%歷史
SAMBoston Beer Co IncCL A756$24.5 萬<0.1%歷史
MFCManulife Financial CorpCOM15,428$24.2 萬<0.1%歷史
Vanguard World FD921910709EXTENDED DUR2,769$24.0 萬<0.1%–
MTBM&T Bank CorpCOM1,349$23.8 萬<0.1%歷史
SPDR Series Trust78468R721STATE STREET SPD5,362$23.6 萬<0.1%–
ZMZoom Communications, Inc.Stock3,188$23.5 萬<0.1%歷史
iShares Tr464289883CORE 30 70 ETF7,125$23.2 萬<0.1%–
ALGNAlign Technology IncCOM1,113$23.1 萬<0.1%歷史
CUZCousins Properties IncCOM NEW9,811$22.9 萬<0.1%歷史
MPMP Materials Corp.COM CL A8,337$22.8 萬<0.1%歷史
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD7,540$22.7 萬<0.1%歷史
RIVNRivian Automotive, Inc.Stock6,877$22.6 萬<0.1%歷史
SNOWSnowflake Inc.Stock1,281$21.8 萬<0.1%歷史
BJBJ's Wholesale Club Holdings, Inc.COM2,998$21.8 萬<0.1%歷史
iShares Select U.S. REIT ETF464287564ETF4,051$21.7 萬<0.1%–
BNSBank of Nova ScotiaCOM4,416$21.0 萬<0.1%歷史
VanEck ETF Trust92189H805RARE EARTH AND S2,508$20.9 萬<0.1%–
ProShares Tr74348A541HGH YLD INT RATE3,617$20.9 萬<0.1%–
ARCBArcbest CorpCOM2,853$20.8 萬<0.1%歷史
Northern LTS FD Tr IV66538H393INSPIRE TACTICAL8,875$20.5 萬<0.1%–
CNXCConcentrix CorpStock1,809$20.2 萬<0.1%歷史
PEverpure, Inc.CL A7,398$20.2 萬<0.1%歷史
Health Assurn Acquisition Co42226W208UNIT 99/99/999919,220$19.2 萬<0.1%–
DJTWWTrump Media & Technology Group Corp.*W EXP 03/25/20249,705$17.9 萬<0.1%歷史
BBNBlackRock Taxable Municipal Bond TrustSHS10,523$17.3 萬<0.1%歷史
BBWBuild-A-Bear Workshop IncCOM11,773$15.7 萬<0.1%歷史
KIOKKR Income Opportunities FundCOM11,229$12.8 萬<0.1%歷史
WOOFPetco Health & Wellness Company, Inc.CL A COM10,788$12.0 萬<0.1%歷史
NZFNuveen Municipal Credit Income FundCOM SH BEN INT10,471$11.9 萬<0.1%歷史
Two Harbors Investment Corp.90187B408COM NEW35,053$11.6 萬<0.1%–
VODVodafone Group Public Ltd CoADR10,159$11.5 萬<0.1%歷史
NADNuveen Quality Municipal Income FundCOM10,458$11.5 萬<0.1%歷史
JRINuveen Real Asset Income & Growth FundCOM10,282$11.5 萬<0.1%歷史
NMZNuveen Municipal High Income Opportunity FundCOM10,933$11.2 萬<0.1%歷史
TUPTupperware Brands CorpCOM11,377$7.50 萬<0.1%歷史
CLVSClovis Oncology, Inc.COM52,148$6.20 萬<0.1%歷史
ANGIAngi Inc.COM CL A NEW16,700$4.90 萬<0.1%歷史
TRXTRX GOLD CorpCOM91,505$3.60 萬<0.1%歷史
XCURExicure, Inc.COM NEW21,807$3.40 萬<0.1%歷史
AGENAgenus IncCOM NEW12,100$2.50 萬<0.1%歷史
CORZCore Scientific, Inc.COMMON STOCK18,500$2.40 萬<0.1%歷史
SQFTPresidio Property Trust, Inc.COM CL A15,914$2.00 萬<0.1%歷史
Bitfarms Ltd Com09173B107Stock10,000$1.10 萬<0.1%–
WTERAlkaline Water Co IncCOM NEW12,300$4,000<0.1%歷史
TLPHTalphera, Inc.COM10,000$2,000<0.1%歷史
AMPEAmpio Pharmaceuticals, Inc.COM17,442$1,000<0.1%歷史