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Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2023 年第 1 季持倉

持倉截至 2023/3/31，2023/5/8 申報。只含多頭部位，變化是跟 2022 年第 4 季比股數。

機構總覽
持股檔數
1,293
較 2022 年第 4 季 +35
總值
$30.1 億
較 2022 年第 4 季 +$2.12 億 (+7.6%)
申報日
2023/5/8
SEC
Sigma Planning Corp 在 2023 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
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20215,115$627<0.1%−1,305−7.9%減碼歷史
HLGNHeliogen, Inc.COMMON STOCK11,433$2,746<0.1%00.0%不變歷史
LOGCContextLogic Inc.COM CL A10,500$4,681<0.1%00.0%不變歷史
APPHAppHarvest, Inc.COM13,537$8,289<0.1%+1,500+12.5%加碼歷史
CLOVClover Health Investments, Corp.COM CL A10,774$9,105<0.1%+74+0.7%加碼歷史
WPRTWestport Fuel Systems Inc.COM NEW12,400$1.18 萬<0.1%00.0%不變歷史
SDCSmileDirectClub, Inc.CL A COM29,184$1.25 萬<0.1%−100−0.3%減碼歷史
GTBPGT Biopharma, Inc.COM NEW22,895$1.26 萬<0.1%+1,500+7.0%加碼歷史
TELLTellurian Inc.COM11,130$1.37 萬<0.1%+400+3.7%加碼歷史
NVTAInvitae CorpCOM10,222$1.38 萬<0.1%−500−4.7%減碼歷史
Granite PT Mtg Tr Inc38741LAC1NOTE 6.375%10/015,000$1.41 萬<0.1%+15,000新進–
ZOMDFZomedica Corp.COM81,751$1.73 萬<0.1%+10.0%加碼歷史
AMRSAmyris, Inc.COM NEW14,137$1.92 萬<0.1%+1,700+13.7%加碼歷史
IBRXImmunityBio, Inc.COM11,050$2.01 萬<0.1%00.0%不變歷史
OPKOpko Health, Inc.COM15,102$2.20 萬<0.1%−300−1.9%減碼歷史
ANGIAngi Inc.COM CL A NEW10,200$2.32 萬<0.1%+10,200新進歷史
CGCCanopy Growth CorpCOM14,473$2.53 萬<0.1%+223+1.6%加碼歷史
PLGPlatinum Group Metals LtdCOM18,500$2.65 萬<0.1%00.0%不變歷史
EVGNEvogene Ltd.SHS46,000$2.90 萬<0.1%+637+1.4%加碼歷史
OGIOrganigram Global Inc.COM46,231$2.96 萬<0.1%+250+0.5%加碼歷史
STEXStreamex Corp.COM NEW29,000$3.31 萬<0.1%00.0%不變歷史
LYGLloyds Banking Group plcSPONSORED ADR14,390$3.34 萬<0.1%+14,390新進歷史
TUPTupperware Brands CorpCOM14,197$3.55 萬<0.1%+14,197新進歷史
Portage Biotech IncG7185A128COM11,508$3.56 萬<0.1%−350−3.0%減碼–
AQMSAqua Metals, Inc.COM36,000$3.60 萬<0.1%00.0%不變歷史
TLRYTilray Brands, Inc.COM CL 217,874$4.52 萬<0.1%−3,136−14.9%減碼歷史
RMTIRockwell Medical, Inc.COM NEW25,268$4.57 萬<0.1%+25,268新進歷史
NSLNuveen Senior Income FundCOM10,365$4.78 萬<0.1%00.0%不變歷史
MNTSMomentus Inc.COM CL A82,275$4.81 萬<0.1%+34,500+72.2%加碼歷史
NKLANikola CorpCOM40,129$4.86 萬<0.1%+6,920+20.8%加碼歷史
MBRXMoleculin Biotech, Inc.COM57,500$5.52 萬<0.1%00.0%不變歷史
BBBLACKBERRY LtdCOM12,326$5.62 萬<0.1%+12,326新進歷史
NOKNokia CorpSPONSORED ADR11,526$5.66 萬<0.1%−7,560−39.6%減碼歷史
IAFAbrdn Australia Equity Fund, Inc.COM12,947$5.68 萬<0.1%+62+0.5%加碼歷史
BRCCBRC Inc.COM CL A11,139$5.73 萬<0.1%+11,139新進歷史
OXSQOxford Square Capital Corp.COM19,697$6.22 萬<0.1%+77+0.4%加碼歷史
RWTRedwood Trust IncCOM10,564$7.12 萬<0.1%00.0%不變歷史
IGRCbre Global Real Estate Income FundCOM13,466$7.15 萬<0.1%+471+3.6%加碼歷史
LUMNLumen Technologies, Inc.Stock29,306$7.77 萬<0.1%−2,964−9.2%減碼歷史
SIRISirius XM Holdings Inc.COM19,785$7.85 萬<0.1%+83+0.4%加碼歷史
AGFirst Majestic Silver CorpCOM11,310$8.15 萬<0.1%−50−0.4%減碼歷史
Advisorshares Tr00768Y453PURE US CANN ETF14,456$8.23 萬<0.1%+74+0.5%加碼–
EVGOEVgo Inc.CL A COM10,651$8.30 萬<0.1%−5,380−33.6%減碼歷史
LTRNLantern Pharma Inc.COM17,275$8.34 萬<0.1%−25−0.1%減碼歷史
FSCOFS Credit Opportunities Corp.COMMON STOCK18,816$8.35 萬<0.1%+18,816新進歷史
BRSPBrightSpire Capital, Inc.COM CL A14,198$8.38 萬<0.1%+3,496+32.7%加碼歷史
BBDCBarings BDC, Inc.COM10,593$8.41 萬<0.1%−405−3.7%減碼歷史
SBSWSibanye Stillwater LtdSPONSORED ADR10,206$8.49 萬<0.1%−4,216−29.2%減碼歷史
AWPabrdn Global Premier Properties FundCOM SH BEN INT20,934$8.62 萬<0.1%−6,716−24.3%減碼歷史
SERSerina Therapeutics, Inc.COM131,200$8.70 萬<0.1%−3,777−2.8%減碼歷史
MTTRMatterport, Inc.COM CL A32,882$8.98 萬<0.1%+749+2.3%加碼歷史
HNRGHallador Energy CoStock10,000$9.19 萬<0.1%00.0%不變歷史
NIMNuveen Select Maturities Municipal FundSH BEN INT10,239$9.45 萬<0.1%00.0%不變歷史
JPCNuveen Preferred & Income Opportunities FundCOM14,675$9.66 萬<0.1%+22+0.2%加碼歷史
CHWCalamos Global Dynamic Income FundCOM16,210$9.69 萬<0.1%−38,218−70.2%減碼歷史
XXII22nd Century Group, Inc.COM127,500$9.80 萬<0.1%−200−0.2%減碼歷史
LCIDLucid Group, Inc.COM12,217$9.82 萬<0.1%+12,217新進歷史
CMLSQCumulus Media IncCOM CL A26,622$9.82 萬<0.1%+3,400+14.6%加碼歷史
STEMStem, Inc.CL A18,370$10.4 萬<0.1%+18,370新進歷史
EDITEditas Medicine, Inc.COM14,570$10.6 萬<0.1%+1,866+14.7%加碼歷史
TFFPTFF Pharmaceuticals, Inc.COM155,191$10.6 萬<0.1%+54,300+53.8%加碼歷史
FCELFuelcell Energy IncCOM37,750$10.8 萬<0.1%−1,600−4.1%減碼歷史
VVRInvesco Senior Income TrustCOM31,055$11.4 萬<0.1%+1,528+5.2%加碼歷史
CHPTChargePoint Holdings, Inc.COM CL A11,097$11.6 萬<0.1%+11,097新進歷史
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT14,481$11.7 萬<0.1%−1,242−7.9%減碼歷史
DCGODocGo Inc.COM14,200$12.3 萬<0.1%−6,000−29.7%減碼歷史
UNGUnited States Natural Gas Fund, LPUNIT PAR17,813$12.4 萬<0.1%+3,247+22.3%加碼歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM46,580$12.4 萬<0.1%+9,844+26.8%加碼歷史
VMOInvesco Municipal Opportunity TrustCOM12,859$12.6 萬<0.1%+638+5.2%加碼歷史
QSQuantumScape CorpCOM CL A15,589$12.8 萬<0.1%−152−1.0%減碼歷史
EZPWEzcorp IncCL A NON VTG14,984$12.9 萬<0.1%+1,814+13.8%加碼歷史
CHSChico's Fas, Inc.COM24,170$13.3 萬<0.1%+9,170+61.1%加碼歷史
TPICQTpi Composites, IncCOM10,190$13.3 萬<0.1%−11−0.1%減碼歷史
ATOMAtomera IncCOM21,675$13.8 萬<0.1%+1,000+4.8%加碼歷史
GABGabelli Equity Trust IncCOM24,446$14.0 萬<0.1%+388+1.6%加碼歷史
VTNRVertex Energy Inc.COM14,400$14.2 萬<0.1%+14,400新進歷史
EVVEaton Vance Ltd Duration Income FundCOM14,553$14.3 萬<0.1%−273−1.8%減碼歷史
FBRTFranklin BSP Realty Trust, Inc.COMMON STOCK12,142$14.5 萬<0.1%−2,364−16.3%減碼歷史
CIMChimera Investment CorpCOM NEW26,051$14.7 萬<0.1%+5,995+29.9%加碼歷史
NMCONuveen Municipal Credit Opportunities FundCOM12,902$14.7 萬<0.1%00.0%不變歷史
BGRBlackRock Energy & Resources TrustCOM12,150$14.8 萬<0.1%−1,520−11.1%減碼歷史
RQICohen & Steers Quality Income Realty Fund IncCEF12,519$14.9 萬<0.1%−758−5.7%減碼歷史
GAPGap IncCOM15,070$15.1 萬<0.1%+381+2.6%加碼歷史
PCTPureCycle Technologies, Inc.COM21,693$15.2 萬<0.1%+5,051+30.4%加碼歷史
ONBOld National BancorpStock10,551$15.2 萬<0.1%+50.0%加碼歷史
SOFISoFi Technologies, Inc.Stock25,125$15.3 萬<0.1%+650+2.7%加碼歷史
SWBISmith & Wesson Brands, Inc.COM12,428$15.3 萬<0.1%−339−2.7%減碼歷史
BLEBlackRock Municipal Income Trust IICOM14,318$15.4 萬<0.1%−2,157−13.1%減碼歷史
CPZCalamos Long/Short Equity & Dynamic Income TrustCOM10,500$16.2 萬<0.1%00.0%不變歷史
SPXXNuveen S&P 500 Dynamic Overwrite FundCOM10,500$16.4 萬<0.1%00.0%不變歷史
HLNHaleon plcADR20,161$16.4 萬<0.1%−5,387−21.1%減碼歷史
PFLTPennantPark Floating Rate Capital Ltd.COM15,468$16.4 萬<0.1%+15,468新進歷史
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM14,808$16.6 萬<0.1%−2,567−14.8%減碼歷史
IRTIndependence Realty Trust, Inc.COM10,458$16.8 萬<0.1%−631−5.7%減碼歷史
FTITechnipFMC plcCOM12,284$16.8 萬<0.1%−1,004−7.6%減碼歷史
Western Digital Corp958102AP0NOTE 1.500% 2/0174,000$16.8 萬<0.1%+123,000+241.2%加碼–
HPSJohn Hancock Preferred Income Fund IIICOM11,575$16.9 萬<0.1%+28+0.2%加碼歷史
FSRFisker Inc.CL A COM STK27,695$17.0 萬<0.1%−1,460−5.0%減碼歷史
ETF Managers Tr26924G508ETFMG ALTR HRVST48,483$17.1 萬<0.1%−11,695−19.4%減碼–
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$17.1 萬<0.1%00.0%不變–

選擇權（2 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 2023 年第 1 季的選擇權部位
證券類別賣權買權
ASANAsana, Inc.CL A–$423
SOFISoFi Technologies, Inc.Stock–$87

2022 年第 4 季之後清倉（86 檔）

2022 年第 4 季季末還持有、這份申報已經沒有的部位。

Sigma Planning Corp 在 2022 年第 4 季之後清倉的部位
證券類別2022 年第 4 季股數2022 年第 4 季市值2022 年第 4 季佔組合 %紀錄
First Tr Exchng Traded FD VI33740F615FT VEST US EQT144,120$434.7 萬0.2%–
iShares Tr46434V282U S EQUITY FACTR80,378$313.6 萬0.1%–
WisdomTree Bloomberg US Dollar Bullish Fund97717W471ETF98,630$256.9 萬0.1%–
iShares Tr46435G433MSCI USA SMCP MN61,431$212.6 萬0.1%–
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF15,513$170.5 萬0.1%–
Vanguard World FD921910873MEGA CAP INDEX10,744$142.3 萬0.1%–
PIMCO ETF Tr72201R88225YR+ ZERO U S15,585$136.1 萬<0.1%–
First Tr Exchng Traded FD VI33740U802FT VEST U.S.35,766$105.4 萬<0.1%–
Invesco Exch TRD SLF Idx FD46138J668BULLSHS 23 USD38,529$89.6 萬<0.1%–
Invesco Exch TRD SLF Idx FD46138J650BULLSHS 24 USD37,024$89.1 萬<0.1%–
iShares Tr464287374NORTH AMERN NAT21,311$86.7 萬<0.1%–
SPDR Series Trust78464A805ST STR PR SP150018,283$86.5 萬<0.1%–
SPDR Series Trust78464A128ST STR SP1500VT5,624$78.6 萬<0.1%–
AUAngloGold Ashanti PLCSPONSORED ADR38,206$74.2 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138E149S&P SMLCP HELT5,239$69.2 萬<0.1%–
iShares Tr46435U861CORE DIVID ETF18,262$68.5 萬<0.1%–
WUWestern Union COStock46,195$63.6 萬<0.1%歷史
HMYHarmony Gold Mining Co LtdADR184,962$62.9 萬<0.1%歷史
OGNOrganon & Co.Stock21,099$58.9 萬<0.1%歷史
HASHasbro, Inc.COM9,578$58.4 萬<0.1%歷史
Simplify Exchange Traded Fun82889N699MANAGED FUTURES22,395$58.2 萬<0.1%–
Litman Gregory FDS Tr53700T827IMGP DBI MAN ETF19,761$57.5 萬<0.1%–
First Tr Exchng Traded FD VI33740F854FT VEST U.S.17,403$54.2 萬<0.1%–
iShares Tr464287325GLOB HLTHCRE ETF6,107$51.8 萬<0.1%–
SPDR Series Trust78464A284ST NUVE HIGH ETF10,316$50.5 萬<0.1%–
Kraneshares Trust500767652MOUNT LUCAS ETF14,714$45.0 萬<0.1%–
EEExcelerate Energy, Inc.CL A COM17,300$43.3 萬<0.1%歷史
RVTYRevvity, Inc.COM3,071$43.1 萬<0.1%歷史
iShares Tr464287184CHINA LG-CAP ETF14,935$42.3 萬<0.1%–
iShares Inc464286319EM MKTS DIV ETF17,331$41.8 萬<0.1%–
Agf Invts Tr00110G408US MARKET NETRL18,352$38.9 萬<0.1%–
Schwab Strategic Tr808524862SHT TM US TRES7,155$34.5 萬<0.1%–
ZZillow Group, Inc.CL C CAP STK9,859$31.8 萬<0.1%歷史
Pacer Trendpilot US Bond ETF69374H642ETF15,471$31.1 萬<0.1%–
Abrdn ETFs003261203BBRG ALL COMMDY8,796$30.4 萬<0.1%–
ESTEEarthstone Energy IncCL A20,398$29.0 萬<0.1%歷史
Vanguard Total World Stock ETF922042742ETF3,355$28.9 萬<0.1%–
XYLXylem Inc.COM2,500$27.7 萬<0.1%歷史
SPDR Series Trust78468R523ST STR BL 12 ETF2,776$27.6 萬<0.1%–
BIIBBiogen Inc.COM948$26.3 萬<0.1%歷史
iShares Tr464288638ISHS 5-10YR INVT5,202$25.8 萬<0.1%–
iShares Tr464287770U.S. FIN SVC ETF1,616$25.5 萬<0.1%–
JAKKJakks Pacific IncCOM NEW14,130$24.7 萬<0.1%歷史
EGLEEagle Bulk Shipping Inc.COM4,924$24.6 萬<0.1%歷史
GSGiShares S&P GSCI Commodity-Indexed TrustUNIT BEN INT11,491$24.4 萬<0.1%歷史
USOUnited States Oil Fund, LPUNITS3,464$24.3 萬<0.1%歷史
JDJD.com, Inc.SPON ADS CL A4,266$23.9 萬<0.1%歷史
NXHNeighborhood Intelligence, Inc.COM12,309$23.8 萬<0.1%歷史
Invesco Exchange Traded FD T46137V373S&P500 EQL STP1,397$23.8 萬<0.1%–
iShares MSCI Acwi Ex U.S. ETF464288240ETF5,214$23.7 萬<0.1%–
TPLTexas Pacific Land CorpStock100$23.5 萬<0.1%歷史
HOGHarley-Davidson, Inc.COM5,634$23.4 萬<0.1%歷史
Innovator ETFs Trust45782C722INTRNL DEV JULY9,599$22.9 萬<0.1%–
APAAPA CorpStock4,848$22.6 萬<0.1%歷史
iShares U.S. Regional Banks ETF464288778ETF4,740$22.6 萬<0.1%–
UNLUnited States 12 Month Natural Gas Fund, LPUNIT BEN INT12,954$22.3 萬<0.1%歷史
SHLSShoals Technologies Group, Inc.CL A8,802$21.7 萬<0.1%歷史
Franklin Templeton ETF Tr35473P462BRANDYWINEGLOBAL18,727$21.4 萬<0.1%–
FHNFirst Horizon CorpCOM8,722$21.4 萬<0.1%歷史
SJISouth Jersey Industries IncCOM5,820$20.7 萬<0.1%歷史
Vanguard Scottsdale FDS92206C706INTER TERM TREAS3,528$20.6 萬<0.1%–
NTGTortoise Midstream Energy Fund, Inc.COM5,862$20.3 萬<0.1%歷史
TXTernium S.A.SPONSORED ADS6,598$20.2 萬<0.1%歷史
PENNPENN Entertainment, Inc.COM6,755$20.1 萬<0.1%歷史
NIDNuveen Intermediate Duration Municipal Term FundCOM13,776$18.1 萬<0.1%歷史
HPEHewlett Packard Enterprise CoCOM10,017$16.0 萬<0.1%歷史
Amplify Blockchain Technology ETF032108607ETF10,354$15.7 萬<0.1%–
NVGNuveen AMT-Free Municipal Credit Income FundCEF11,270$13.7 萬<0.1%歷史
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS13,483$12.3 萬<0.1%歷史
HEQJohn Hancock Diversified Income FundCOM10,217$11.8 萬<0.1%歷史
TALTAL Education GroupSPONSORED ADS14,600$10.3 萬<0.1%歷史
MUXMcEwen Inc.COM NEW17,030$9.98 萬<0.1%歷史
HOODRobinhood Markets, Inc.Stock10,429$8.49 萬<0.1%歷史
RIGTransocean Ltd.REGISTERED SHS17,409$7.94 萬<0.1%歷史
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,373$7.83 萬<0.1%歷史
Harbor Custom Development IN41150T2078% CONV PFD SR A10,800$6.97 萬<0.1%–
IAGIamgold CorpCOM26,853$6.93 萬<0.1%歷史
TTITetra Technologies IncCOM12,331$4.27 萬<0.1%歷史
Advisorshares Tr00768Y495PURE CANNABIS11,068$3.98 萬<0.1%–
ONCTOncternal Therapeutics, Inc.COM20,025$2.00 萬<0.1%歷史
HCDIHarbor Custom Development, Inc.COM18,503$6,859<0.1%歷史
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$3,536<0.1%歷史
AYTUAytu Biopharma, IncCOM NEW16,996$3,212<0.1%歷史
CFORCapForce Inc.COM17,500$2,468<0.1%歷史
REEDReed's, Inc.COM29,565$2,064<0.1%歷史
Avaya Hldgs Corp05351XAB7NOTE 2.250% 6/120,000$750<0.1%–