CIK: 0001449126
Total reported value
$3.6B
Reporting period: 2026-03-31 · Number of holdings: 1309
Sigma Planning Corp disclosed 1309 holdings in its latest 13F filing for the period ending 2026-03-31, with total reported value of $3.6B and a quarterly turnover rate of 18.7%.
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Sigma Planning Corp's disclosed holdings carry a Herfindahl concentration index of 0.009 — mathematically equivalent to about 108 equally-sized positions, well below its 1309 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 3.33), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 38% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Trim MSFT
+0.0% -$15.4M
Trim QQQ
-13.6% -$14.3M
Trim AAPL
-1.6% -$14.0M
Trim NVDA
+0.2% -$10.7M
Trim AMZN
-0.7% -$8.5M
Trim IGIB
-38.3% -$6.9M
Showing top 200 holdings (of 1309 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 5.42% | -0.13% | +1.73% | |
| 2 | AAPL | Apple INC | Stock-Tech | 4.31% | -0.36% | -1.60% | |
| 3 | NVDA | Nvidia CORP | Stock-Tech | 3.11% | -0.28% | +0.23% | |
| 4 | AMZN | Amazon.com INC | Stock-Consumer Disc | 2.02% | -0.22% | -0.71% | |
| 5 | QQQ | Invesco Qqq Trust Series 1 | ETF-Tech | 1.69% | -0.39% | -13.63% | |
| 6 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 1.55% | -0.11% | -23.54% | |
| 7 | DGRO | Ishares Core Dividend Growth | ETF-Other | 1.41% | — | -1.34% | |
| 8 | MSFT | Microsoft CORP | Stock-Tech | 1.39% | -0.42% | +0.04% | |
| 9 | IVW | Ishares S&p 500 Growth ETF | ETF-Large Cap & Growth | 1.36% | -0.12% | -0.38% | |
| 10 | VOO | Vanguard S&p 500 ETF | ETF-Large Cap & Growth | 1.33% | -0.06% | -0.46% | |
| 11 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 1.09% | -0.11% | -1.34% | |
| 12 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | ETF-Corp Bonds | 1.03% | — | +2.53% | |
| 13 | SCHG | Schwab US Large-cap Growth | ETF-Other | 0.76% | -0.10% | -3.52% | |
| 14 | SCHD | Schwab US Dvd Equity ETF | ETF-Other | 0.74% | +0.12% | +4.40% | |
| 15 | SHY | Ishares 1-3 Year Treasury Bo | ETF-Gov Bonds | 0.70% | — | +2.98% | |
| 16 | AVGO | Broadcom INC | Stock-Tech | 0.67% | — | +1.92% | |
| 17 | IJH | Ishares Core S&p Midcap ETF | ETF-Other | 0.66% | — | -2.46% | |
| 18 | IVE | Ishares S&p 500 Value ETF | ETF-Large Cap & Growth | 0.63% | — | +1.80% | |
| 19 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.63% | — | -0.44% | |
| 20 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.63% | -0.11% | -2.39% | |
| 21 | IJR | Ishares Core S&p Small-cap E | ETF-Small Cap | 0.60% | — | -10.02% | |
| 22 | GLD | Spdr Gold Shares | ETF-Commodities | 0.56% | -0.08% | -20.97% | |
| 23 | IAU | Ishares Gold Trust | ETF-Commodities | 0.55% | — | +2.14% | |
| 24 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 0.53% | -0.09% | -10.62% | |
| 25 | AGG | Ishares Core U.s. Aggregate | ETF-Other | 0.52% | — | +10.43% | |
| 26 | VTI | Vanguard Total Stock Mkt ETF | ETF-Other | 0.51% | +0.11% | +31.95% | |
| 27 | RDVY | First Trust Rising Dividend | ETF-Other | 0.49% | — | +3.18% | |
| 28 | CGDV | Cap Group Dividend Value | ETF-Other | 0.49% | +0.15% | +46.65% | |
| 29 | LLY | Eli Lilly & Co | Stock-Healthcare | 0.47% | — | +7.39% | |
| 30 | JPM | Jpmorgan Chase & Co | Stock-Financials | 0.45% | -0.06% | -4.50% | |
| 31 | CAT | Caterpillar INC | Stock-Industrials | 0.44% | — | -9.49% | |
| 32 | FLOT | Ishares Floating Rate Bond E | ETF-Other | 0.44% | — | +2.87% | |
| 33 | CVX | Chevron CORP | Stock-Energy | 0.44% | +0.10% | -5.70% | |
| 34 | TSLA | Tesla INC | Stock-Consumer Disc | 0.43% | -0.17% | -13.29% | |
| 35 | IDV | Ishares International Select | ETF-Other | 0.43% | — | -5.71% | |
| 36 | COST | Costco Wholesale CORP | Stock-Consumer Staples | 0.41% | — | -6.72% | |
| 37 | COWZ | Pacer US Cash Cows 100 ETF | ETF-Other | 0.41% | — | -5.71% | |
| 38 | USMV | Ishares Msci USA Min Vol Fac | ETF-Other | 0.40% | — | +4.04% | |
| 39 | WMT | Walmart INC | Stock-Consumer Staples | 0.40% | — | +3.62% | |
| 40 | XOM | Exxon Mobil CORP | Stock-Energy | 0.40% | +0.11% | -1.59% | |
| 41 | VTV | Vanguard Value ETF | ETF-Other | 0.39% | — | +3.05% | |
| 42 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.38% | — | -1.17% | |
| 43 | SCHX | Schwab US Large-cap ETF | ETF-Other | 0.37% | — | -2.04% | |
| 44 | PLTR | Palantir Technologies Inc-a | Stock-Tech | 0.37% | -0.15% | -5.46% | |
| 45 | XLK | Ss Technology Select Sector | ETF-Tech | 0.36% | -0.07% | -12.40% | |
| 46 | IGSB | Ishares 1-5y Inv Grade CORP | ETF-Other | 0.35% | — | +3.79% | |
| 47 | IEFA | Ishares Core Msci Eafe ETF | ETF-Other | 0.35% | — | +9.51% | |
| 48 | ABBV | Abbvie INC | Stock-Healthcare | 0.34% | — | -4.18% | |
| 49 | SDVY | First Trust Smid Cap Rising | ETF-Other | 0.33% | — | +3.09% | |
| 50 | BUFR | Ft Vest Lad Buffervetf-usd I | ETF-Other | 0.33% | — | -6.03% |
Performance for Q3 2026
+3%
Performance Last 4 Quarters
+20.4%
Based on 75% of reported portfolio value with available pricing
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2026-03-31 | 1309 | $3.6B | 19 | |
| 2025-12-31 | 1295 | $3.6B | 14 | |
| 2025-09-30 | 1290 | $3.5B | 29 | |
| 2025-06-30 | 1244 | $3.3B | 0 | |
| 2025-03-31 | 1203 | $3.1B | 100 | |
| 2024-12-31 | 1162 | $3.2B | 0 | |
| 2024-09-30 | 1218 | $3.3B | 0 | |
| 2024-06-30 | 1196 | $3.2B | 0 | |
| 2024-03-31 | 1222 | $3.2B | 0 | |
| 2023-12-31 | 846 | $1.3B | 0 | |
| 2023-09-30 | 1197 | $2.7B | 0 | |
| 2023-06-30 | 1202 | $2.8B | 0 | |
| 2023-03-31 | 1295 | $3.0B | 0 | |
| 2022-12-31 | 1261 | $2.8B | 0 | |
| 2022-09-30 | 1261 | $2.6B | 0 | |
| 2022-06-30 | 1288 | $2.9B | 0 | |
| 2022-03-31 | 1362 | $3.3B | 0 | |
| 2021-12-31 | 1383 | $3.6B | 0 | |
| 2021-09-30 | 1372 | $3.3B | 0 | |
| 2021-06-30 | 1413 | $3.4B | 100 | |
| 2021-03-31 | 1325 | $3.1B | 31 | |
| 2020-12-31 | 1194 | $2.9B | 27 | |
| 2020-09-30 | 1060 | $2.5B | 27 | |
| 2020-06-30 | 1054 | $2.3B | 37 | |
| 2020-03-31 | 915 | $1.7B | 46 | |
| 2019-12-31 | 1051 | $2.4B | 27 | |
| 2019-09-30 | 1000 | $2.1B | 23 | |
| 2019-06-30 | 989 | $1.9B | 22 | |
| 2019-03-31 | 940 | $1.8B | 35 | |
| 2018-12-31 | 851 | $1.4B | 33 | |
| 2018-09-30 | 948 | $1.7B | 25 | |
| 2018-06-30 | 902 | $1.5B | 26 | |
| 2018-03-31 | 859 | $1.4B | 24 | |
| 2017-12-31 | 852 | $1.3B | 21 | |
| 2017-09-30 | 847 | $1.2B | 27 | |
| 2017-06-30 | 790 | $1.1B | 21 | |
| 2017-03-31 | 776 | $1.0B | 29 | |
| 2016-12-31 | 735 | $914.9M | 32 | |
| 2016-09-30 | 743 | $843.5M | 27 | |
| 2016-06-30 | 696 | $767.1M | 34 | |
| 2016-03-31 | 699 | $731.6M | 35 | |
| 2015-12-31 | 698 | $714.3M | 33 | |
| 2015-09-30 | 676 | $631.2M | 36 | |
| 2015-06-30 | 707 | $724.4M | 27 | |
| 2015-03-31 | 752 | $754.9M | 35 | |
| 2014-12-31 | 717 | $756.4M | — |
Sigma Planning Corp's most significant position changes for 2026-03-31: New buy: Ishares Msci USA Quality Gar (GARP); New buy: Ishares Def Industrials Act (IDEF); New buy: Ishares Morningstar Value Et (ILCV); New buy: Ishares Large Cap Val Act (BLCV); New buy: Lazard Intl Dynamic Eqy ETF (IDEQ).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | CGDV | Cap Group Dividend Value | +0.2% | +46.65% | Add |
| 2 | BOND | Pimco Active Bond Exchange-t | +0.1% | +1055.37% | Add |
| 3 | CGGO | Cap Group Global Growth | +0.1% | +847.80% | Add |
| 4 | SCHD | Schwab US Dvd Equity ETF | +0.1% | +4.40% | Add |
| 5 | XOM | Exxon Mobil CORP | +0.1% | -1.59% | Trim |
| 6 | VTI | Vanguard Total Stock Mkt ETF | +0.1% | +31.95% | Add |
| 7 | CVX | Chevron CORP | +0.1% | -5.70% | Trim |
| 8 | XLE | Ss Energy Select Sector | +0.1% | +13.44% | Add |
| 9 | VB | Vanguard Small-cap ETF | +0.1% | +45.90% | Add |
| 10 | GEV | GE Vernova INC | +0.1% | +25.54% | Add |
| 11 | VOO | Vanguard S&p 500 ETF | -0.1% | -0.46% | Trim |
| 12 | JPM | Jpmorgan Chase & Co | -0.1% | -4.50% | Trim |
| 13 | IBM | Intl Business Machines CORP | -0.1% | -4.29% | Trim |
| 14 | XLK | Ss Technology Select Sector | -0.1% | -12.40% | Trim |
| 15 | APP | Applovin Corp-class A | -0.1% | -59.04% | Trim |
| 16 | JQUA | Jpmorgan US Quality Factor | -0.1% | -57.39% | Trim |
| 17 | GLD | Spdr Gold Shares | -0.1% | -20.97% | Trim |
| 18 | CIBR | First Trust Nasdaq Cybersecu | -0.1% | -28.46% | Trim |
| 19 | PLTM | Graniteshares Platinum Trust | -0.1% | -83.59% | Trim |
| 20 | BRK-B | Berkshire Hathaway Inc-cl B | -0.1% | -10.62% | Trim |
| 21 | XLF | Ss Financial Select Sector | -0.1% | -22.64% | Trim |
| 22 | CRM | Salesforce INC | -0.1% | -26.75% | Trim |
| 23 | SCHG | Schwab US Large-cap Growth | -0.1% | -3.52% | Trim |
| 24 | SLV | Ishares Silver Trust | -0.1% | -26.89% | Trim |
| 25 | GOOG | Alphabet Inc-cl C | -0.1% | -1.34% | Trim |
| 26 | META | Meta Platforms Inc-class A | -0.1% | -2.39% | Trim |
| 27 | SPY | Ss Spdr S&p 500 ETF Trust-us | -0.1% | -23.54% | Trim |
| 28 | IVW | Ishares S&p 500 Growth ETF | -0.1% | -0.38% | Trim |
| 29 | BNDX | Vanguard Total Intl Bond ETF | -0.1% | -54.03% | Trim |
| 30 | IVV | Ishares Core S&p 500 ETF | -0.1% | +1.73% | Add |
| 31 | PLTR | Palantir Technologies Inc-a | -0.2% | -5.46% | Trim |
| 32 | TSLA | Tesla INC | -0.2% | -13.29% | Trim |
| 33 | IGIB | Ishares 5-10y Inv Grade CORP | -0.2% | -38.32% | Trim |
| 34 | AMZN | Amazon.com INC | -0.2% | -0.71% | Trim |
| 35 | NVDA | Nvidia CORP | -0.3% | +0.23% | Add |
| 36 | AAPL | Apple INC | -0.4% | -1.60% | Trim |
| 37 | QQQ | Invesco Qqq Trust Series 1 | -0.4% | -13.63% | Trim |
| 38 | MSFT | Microsoft CORP | -0.4% | +0.04% | Add |
| 39 | GARP | Ishares Msci USA Quality Gar | — | NEW | New buy |
| 40 | IDEF | Ishares Def Industrials Act | — | NEW | New buy |
| 41 | ILCV | Ishares Morningstar Value Et | — | NEW | New buy |
| 42 | BLCV | Ishares Large Cap Val Act | — | NEW | New buy |
| 43 | IDEQ | Lazard Intl Dynamic Eqy ETF | — | NEW | New buy |
| 44 | GJAN | Ft Vest US Equity Moderate B | — | EXIT | Sold out |
| 45 | ✓ | Blackrock ETF Trust | — | EXIT | Sold out |
| 46 | FOCT | Ft Vest U.s. Equity Buffer E | — | EXIT | Sold out |
| 47 | FJAN | Ft Vest U.s. Equity Buffer E | — | NEW | New buy |
| 48 | SNTH | Mrp Synthequity ETF | — | NEW | New buy |
| 49 | BE | Bloom Energy Corp- A | — | NEW | New buy |
| 50 | LENS | Sarmaya Thematic ETF | — | NEW | New buy |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2026-03-31 | 2026-05-04 | 13F-HR | View on EDGAR |
| 2025-12-31 | 2026-01-30 | 13F-HR | View on EDGAR |
| 2025-09-30 | 2025-11-10 | 13F-HR | View on EDGAR |
| 2025-06-30 | 2025-08-05 | 13F-HR | View on EDGAR |
| 2025-03-31 | 2025-05-02 | 13F-HR | View on EDGAR |
| 2024-12-31 | 2025-02-03 | 13F-HR | View on EDGAR |
| 2024-09-30 | 2024-11-04 | 13F-HR | View on EDGAR |
| 2024-06-30 | 2024-08-06 | 13F-HR | View on EDGAR |
| 2024-03-31 | 2024-05-02 | 13F-HR | View on EDGAR |
| 2023-12-31 | 2024-02-01 | 13F-HR | View on EDGAR |
| 2023-09-30 | 2023-11-06 | 13F-HR | View on EDGAR |
| 2023-06-30 | 2023-08-02 | 13F-HR | View on EDGAR |
| 2023-03-31 | 2023-05-08 | 13F-HR | View on EDGAR |
| 2022-12-31 | 2023-01-24 | 13F-HR | View on EDGAR |
| 2022-09-30 | 2022-11-10 | 13F-HR | View on EDGAR |
| 2022-06-30 | 2022-08-11 | 13F-HR | View on EDGAR |
| 2022-03-31 | 2022-04-20 | 13F-HR | View on EDGAR |
| 2021-12-31 | 2022-02-02 | 13F-HR | View on EDGAR |
| 2021-09-30 | 2021-10-28 | 13F-HR | View on EDGAR |
| 2021-06-30 | 2021-08-13 | 13F-HR | View on EDGAR |
| 2021-03-31 | 2021-05-06 | 13F-HR | View on EDGAR |
| 2020-12-31 | 2021-02-09 | 13F-HR | View on EDGAR |
| 2020-09-30 | 2020-11-03 | 13F-HR | View on EDGAR |
| 2020-06-30 | 2020-07-31 | 13F-HR | View on EDGAR |
| 2020-03-31 | 2020-05-01 | 13F-HR | View on EDGAR |
| 2019-12-31 | 2020-02-03 | 13F-HR | View on EDGAR |
| 2019-09-30 | 2019-11-01 | 13F-HR | View on EDGAR |
| 2019-06-30 | 2019-08-01 | 13F-HR | View on EDGAR |
| 2019-03-31 | 2019-05-01 | 13F-HR | View on EDGAR |
| 2018-12-31 | 2019-01-31 | 13F-HR | View on EDGAR |
| 2018-09-30 | 2018-11-07 | 13F-HR | View on EDGAR |
| 2018-06-30 | 2018-08-02 | 13F-HR | View on EDGAR |
| 2018-03-31 | 2018-05-11 | 13F-HR | View on EDGAR |
| 2017-12-31 | 2018-02-07 | 13F-HR | View on EDGAR |
| 2017-09-30 | 2017-11-06 | 13F-HR | View on EDGAR |
| 2017-06-30 | 2017-08-02 | 13F-HR | View on EDGAR |
| 2017-03-31 | 2017-04-24 | 13F-HR | View on EDGAR |
| 2016-12-31 | 2017-01-23 | 13F-HR | View on EDGAR |
| 2016-09-30 | 2016-11-07 | 13F-HR | View on EDGAR |
| 2016-06-30 | 2016-07-22 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-18 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-01-20 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-11-02 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-07-14 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-04-23 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-02-13 | 13F-HR | View on EDGAR |
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