Sigma Planning Corp

CIK 0001449126 · Q1 2026

13F Equity AUM

$3.6B

-0.6% QoQ

Positions

1,302

+13 QoQ

AUM Rank

#1,238

Top 10%

Skill Alpha (FF)

-1.9%/yr

Underperformer

Rank #5,075 · Top 62%

vs S&P -5.8%/yr (unadj.)

Quarters Tracked

~11 years

Portfolio Concentration

Top 5: 16.6%Top 10: 23.6%Top 20: 31.1%

IVV5.4%

AAPL4.3%

NVDA3.1%

AMZN2.0%

NDQ1.7%

SPY1.6%

DGRO1.4%

MSFT1.4%

IVW1.4%

VOO1.3%

Others (1292)76.4%

HHI (Herfindahl-Hirschman Index) measures portfolio concentration. Low (<1500) = diversified, Moderate (1500-2500), High (>2500) = concentrated bets.

Sector Allocation

Financial Services62.8%

Technology13.7%

Consumer Cyclical3.7%

Industrials3.7%

Healthcare3.3%

Communication Services3.1%

Consumer Defensive2.2%

Other7.5%

Portfolio weight by GICS sector based on latest 13F filing. Sectors below 2% are grouped as “Other.”

Position Sizing

Positions: 1302Median: 0.02%Avg: 0.08%

0–0.5%

1276(65.6%)

0.5–1%

14(8.7%)

1–3%

9(12.9%)

3–5%

2(7.4%)

5%+

1(5.4%)

Count of positions per weight bucket — (%) = combined portfolio weight

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Portfolio Overlap

Shared: 1,155Unique: 147vs 20 funds

15.5%Moderate

1,302

Fund positions

7,299

Consensus CUSIPs

Jaccard similarity of this fund’s portfolio vs the consensus of top 20 funds by AUM. Low (<15%) = contrarian, Moderate (15-40%), High (>40%) = follows the crowd.

Most Similar Funds

Top 9 benchmark funds with highest portfolio overlap (Jaccard similarity)

MORGAN STANLEY

20.4%

BANK OF AMERICA CORP /DE/

22.1%

19.3%

22.8%

16.2%

13.6%

VANGUARD CAPITAL MANAGEMENT LLC

12.6%

GEODE CAPITAL MANAGEMENT, LLC

12.3%

VANGUARD PORTFOLIO MANAGEMENT LLC

13.5%

Jaccard similarity per fund: shared CUSIPs / (fund A + fund B − shared). Higher values indicate more similar portfolios.

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Position Changes This Quarter

New133Increased580Decreased565Exited118

New Positions

GARP0.2%

+129K

IDEF0.2%

+190K

ILCV0.1%

+53K

BLACKROCK ETF TRUST0.1%

+130K

IDEQ0.1%

+148K

FJAN0.1%

+70K

LENS0.1%

+70K

BE0.1%

+24K

SNTH0.1%

+124K

CAG0.1%

+112K

Increased

CGGO0.1%

+138K(+848%)

CGDV0.5%

+131K(+47%)

CGTX0.0%

+122K(+56%)

RSBA0.1%

+105K(+966%)

RNTX0.0%

+101K(+41%)

HL0.1%

+86K(+395%)

MSIF0.1%

+74K(+55%)

DOC0.0%

+71K(+583%)

BEAT0.0%

+71K(+115%)

CGMM0.1%

+65K(+123%)

Decreased

PLTM0.0%

-171,761(-84%)

IGIB0.3%

-125,182(-38%)

BNDX0.1%

-94,227(-54%)

PKST0.0%

-85,950(-84%)

RITM0.0%

-80,368(-60%)

FSK0.0%

-75,350(-40%)

CION0.0%

-68,383(-24%)

SLV0.3%

-59,139(-27%)

KNG0.0%

-47,045(-62%)

AFLG0.1%

-43,766(-37%)

Exited

GJAN

-98,254

BLACKROCK ETF TRUST

-109,921

-83,553

-89,811

-78,927

-46,093

-5,828

-22,782

-18,582

-10,520

Quarter-over-quarter changes compared to prior 13F filing. New = first appearance; Exited = no longer held.

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Holdings

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