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Portfolio (Quarterly) Guide ↗

Sigma Planning Corp

· CIK 0001449126
13F Portfolio $3.6B AUM 1,295 positions Filed Jan 30, 2026 EDGAR ↗ ← All Funds
Q4 2025 Q3 2025 · All 127 New 564 Added 476 Reduced 122 Exited
Page 20 of 29  ·  564 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
381 KBWB INVESCO EXCH TRADED FD TR II 7,875.0 $664K 0.02% +627.0 +8.7% $84.29 +0.0%
382 SVOL SIMPLIFY EXCHANGE TRADED FUN 37,456.0 $658K 0.02% +2K +5.2% $17.56 -8.8%
383 IXUS ISHARES TR 7,734.0 $655K 0.02% +50.0 +0.7% $84.64 +10.9%
384 SHW SHERWIN WILLIAMS CO Basic Materials 2,019.0 $654K 0.02% +362.0 +21.9% $324.05 -7.4%
385 IUS INVESCO EXCH TRD SLF IDX FD 11,321.0 $647K 0.02% +391.0 +3.6% $57.16 +12.4%
386 VMBS VANGUARD SCOTTSDALE FDS 13,730.0 $646K 0.02% +109.0 +0.8% $47.08 -1.6%
387 HALO HALOZYME THERAPEUTICS INC Healthcare 9,592.0 $646K 0.02% +2K +22.2% $67.30 -0.3%
388 JPEM J P MORGAN EXCHANGE TRADED F 10,595.0 $643K 0.02% +868.0 +8.9% $60.73 +5.6%
389 FORTINET INC 7,939.0 $639K 0.02% +603.0 +8.2% $80.50
390 OUSA ALPS ETF TR 10,517.0 $607K 0.02% +120.0 +1.1% $57.70 +1.0%
391 TGT TARGET CORP Consumer Defensive 6,197.0 $606K 0.02% +272.0 +4.6% $97.75 +24.3%
392 SWK STANLEY BLACK & DECKER INC Industrials 8,077.0 $600K 0.02% +411.0 +5.4% $74.28 +1.2%
393 FDLO FIDELITY COVINGTON TRUST 8,976.0 $599K 0.02% +811.0 +9.9% $66.75 +4.6%
394 REGN REGENERON PHARMACEUTICALS Healthcare 774.0 $597K 0.02% +260.0 +50.6% $771.37 -9.5%
395 CGMU CAPITAL GRP FIXED INCM ETF T 21,770.0 $596K 0.02% +2K +10.2% $27.38 -0.6%
396 FNY FIRST TR EXCHANGE-TRADED ALP 6,441.0 $587K 0.02% +228.0 +3.7% $91.19 +9.2%
397 LHX L3HARRIS TECHNOLOGIES INC Industrials 1,993.0 $585K 0.02% +12.0 +0.6% $293.52 +3.4%
398 PTY PIMCO CORPORATE & INCOME OPP Financial Services 45,272.0 $584K 0.02% +7K +18.6% $12.90 -9.1%
399 EME EMCOR GROUP INC Industrials 680.0 $578K 0.02% +94.0 +16.0% $850.45 +7.4%
400 CGGO CAPITAL GROUP GBL GROWTH EQT 16,269.0 $572K 0.02% +2K +13.9% $35.18 +9.6%
Page 20 of 29  ·  564 positions

Period Price is the implied market price on the last day of the reporting period, calculated as reported value ÷ shares held. It is not the fund's purchase price or cost basis — the fund may have initiated or added to the position at any point during the quarter at a different price. Since Period shows the price change from that quarter-end snapshot to today's last price — it reflects stock movement after the report date, not the fund's actual return.

Sector Allocation
Technology 33.7%
Financial Services 21.0%
Consumer Cyclical 9.2%
Communication Services 7.6%
Healthcare 7.5%
Industrials 7.2%
Consumer Defensive 4.5%
Energy 3.1%
Utilities 2.9%
Basic Materials 1.6%