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Sigma Planning Corp — 13F Holdings & Portfolio

CIK 1449126 · latest 13F-HR filed 2026-10-23

Backtest portfolio

Sigma Planning Corp manages $3.88B in 13F-reported U.S. long-equity assets across 1,325 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IVV (5.56%), AAPL (4.93%), NVDA (3.19%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 79 new positions and exited 155; 309 existing positions rose in reported value and 551 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$3.88B

Long-equity book

Holdings
1,325

Distinct positions

Period
2026-09-30

Filed 2026-10-23

Q/Q Activity
+79 / −155 / ↑309 / ↓551

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
IVV5.6% · -0%AAPL4.9% · -0%NVDA3.2% · -1%QQQ2.0% · -7%AMZN1.8% · -3%MSFT1.7% · -4%IVW1.5% · -4%SPY1.5% · -5%DGRO1.4% · +1%VOO1.2% · -6%GOOG1.2% · -0%LQD0.9% · +6%SCHG0.9% · +2%GOOGL0.7% · -1%SCHD0.7% · -4%SHY0.7% · +5%MU0.7% · +3%VTI0.6% · -3%META0.6% · -8%CRWD0.6% · +267%CGDV0.6% · -1%AVGO0.6% · -2%AMD0.6% · -5%IVE0.6% · -2%BRK.B0.5% · +0%IJH0.5% · -0%RDVY0.5% · -2%CAT0.5% · -6%JPM0.5% · -0%PLTR0.5% · +22%JNJ0.5% · +8%XLK0.4% · -1%LLY0.4% · -0%FLOT0.4% · +12%IDV0.4% · +5%CVX0.4% · -1%SCHX0.4% · +1%IAU0.4% · -11%TSLA0.4% · +2%IJR0.4% · -19%GLD0.4% · -12%VGT0.4% · +10%VB0.4% · +24%ABBV0.4% · -2%IGSB0.4% · +11%VTV0.3% · -11%SMH0.3% · -10%COST0.3% · -7%SDVY0.3% · +0%COWZ0.3% · -16%XOM0.3% · -2%IMCG0.3% · +3%BUFR0.3% · -2%RSP0.3% · +1%V0.3% · -2%WMT0.3% · -3%IGIB0.3% · +12%VO0.3% · -2%IUSV0.3% · -0%BIV0.3% · +4%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 24.9%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated May 7, 2026.

Assets Under Management
$6.10B
Discretionary
$6.10B
Employees
471
Accounts
26,433
Address
300 PARKLAND PLAZA
ANN ARBOR, MI 48103
Phone
(734) 663-1611
Website
This firm reports 7 disclosure items on its registration.
Name Title / Status Ownership Type
KILBARGER, ANDREW, DAVID ControlCHIEF COMPLIANCE OFFICER
since Oct 2022
Less than 5%Individual
MCCLELLAN, JOHN, ALEXANDER ControlCHIEF RISK AND BUSINESS OFFICER
since Apr 2025
Less than 5%Individual
PISTOR, RANDOLPH, FULVIO ControlCHIEF LEGAL OFFICER
since Apr 2025
Less than 5%Individual
RHODES, DANA, ELISE ControlCHIEF OPERATING OFFICER
since Mar 2025
Less than 5%Individual
RYDELL, BRANDON, DAVID ControlPRESIDENT
since Dec 2007
Less than 5%Individual
RYDELL, JEROME, STANLEY ControlCEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020
since Oct 1983
Less than 5%Individual
STEINMAN, MARK, RALPH ControlAVP OPERATIONS
since May 2021
Less than 5%Individual
THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 ControlTRUST (OWNER OF ALL VOTING SHARES)
since Jan 2021
75% or moreDomestic Entity
RYDELL, JEROME, STANLEY Control
Indirect owner via THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020
TRUSTEE
since Dec 1998
75% or moreIndividual
Ownership & leadership changes · 11 filings with changes since Jan 17, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

May 7, 2026 filing
  • No longer listedWOOTON, RYAN, DANIEL · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Mar 2025
Mar 24, 2026 filing
  • ChangedSTEINMAN, MARK, RALPH · title MANAGER OF SPC DEPARTMENT → AVP OPERATIONS
Apr 24, 2025 filing
  • Listed againMCCLELLAN, JOHN, ALEXANDER · CHIEF RISK AND BUSINESS OFFICER · Less than 5% · control person
  • Listed againPISTOR, RANDOLPH, FULVIO · CHIEF LEGAL OFFICER · Less than 5% · control person
Mar 26, 2025 filing
  • AddedWOOTON, RYAN, DANIEL · CHIEF FINANCIAL OFFICER · Less than 5% · control person
  • ChangedRHODES, DANA, ELISE · title SENIOR VICE PRESIDENT OF ADVISORY SERVICES → CHIEF OPERATING OFFICER
  • ChangedRYDELL, BRANDON, DAVID · title PRESIDENT AND CHIEF FINANCIAL OFFICER → PRESIDENT
Oct 27, 2022 filing
  • No longer listedPISTOR, RANDOLPH, FULVIO · CHIEF COMPLIANCE OFFICER AND CHIEF LEGAL OFFICER · Less than 5% · control person · listed since Mar 2021
  • AddedKILBARGER, ANDREW, DAVID · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Sep 15, 2022 filing
  • No longer listedLuedeman, Lars · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Mar 2022
  • ChangedRYDELL, BRANDON, DAVID · title PRESIDENT → PRESIDENT AND CHIEF FINANCIAL OFFICER
Mar 28, 2022 filing
  • AddedLuedeman, Lars · CHIEF FINANCIAL OFFICER · Less than 5% · control person
  • ChangedRYDELL, BRANDON, DAVID · title CHIEF FINANCIAL OFFICER AND PRESIDENT → PRESIDENT
May 10, 2021 filing
  • No longer listedHOLZER, AMY, KIM · DIRECTOR OF SIGMA PLANNING CORPORATION · Less than 5% · control person · listed since Jan 2013
  • AddedSTEINMAN, MARK, RALPH · MANAGER OF SPC DEPARTMENT · Less than 5% · control person
Mar 31, 2021 filing
  • No longer listedBACARELLA, ANTHONY, SANTO · DIRECTOR OF CASE PLANNING / EXECUTIVE MEMBER · Less than 5% · control person · listed since Jan 2009
  • No longer listedBACARELLA, JENNIFER, LYNN · DIRECTOR OF LICENSING AND FIRM DEVELOPMENT / EXECUTIVE MEMBER · Less than 5% · control person · listed since Dec 2007
  • No longer listedMCCLELLAN, JOHN, ALEXANDER · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Dec 2007
  • AddedPISTOR, RANDOLPH, FULVIO · CHIEF COMPLIANCE OFFICER AND CHIEF LEGAL OFFICER · Less than 5% · control person
  • AddedRHODES, DANA, ELISE · SENIOR VICE PRESIDENT OF ADVISORY SERVICES · Less than 5% · control person
  • AddedRYDELL, JEROME, STANLEY · TRUSTEE · 75% or more · indirect via THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 · control person
  • AddedTHE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 · TRUST (OWNER OF ALL VOTING SHARES) · 75% or more · control person
  • ChangedRYDELL, BRANDON, DAVID · title CHIEF FINANCIAL OFFICER → CHIEF FINANCIAL OFFICER AND PRESIDENT
  • ChangedRYDELL, JEROME, STANLEY · title PRESIDENT → CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020; ownership 75% or more → Less than 5%
Mar 30, 2020 filing
  • AddedBACARELLA, JENNIFER, LYNN · DIRECTOR OF LICENSING AND FIRM DEVELOPMENT / EXECUTIVE MEMBER · Less than 5% · control person
  • AddedHOLZER, AMY, KIM · DIRECTOR OF SIGMA PLANNING CORPORATION · Less than 5% · control person
  • ChangedBACARELLA, ANTHONY, SANTO · title DIRECTOR OF CASE PLANNING → DIRECTOR OF CASE PLANNING / EXECUTIVE MEMBER
Older changes (2 more filings)
Mar 9, 2020 filing
  • AddedRYDELL, BRANDON, DAVID · CHIEF FINANCIAL OFFICER · Less than 5% · control person
Jan 17, 2012 filing (earliest on record)
  • ListedBACARELLA, ANTHONY, SANTO · DIRECTOR OF CASE PLANNING · Less than 5% · control person
  • ListedMCCLELLAN, JOHN, ALEXANDER · CHIEF COMPLIANCE OFFICER · Less than 5%
  • ListedRYDELL, JEROME, STANLEY · PRESIDENT · 75% or more · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Sigma Planning Corp Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES TR IVV 464287200 $216.1M 5.56% 282,527 SH
2 APPLE INC AAPL 037833100 $191.5M 4.93% 577,538 SH
3 NVIDIA CORPORATION NVDA 67066G104 $123.7M 3.19% 545,615 SH
4 INVESCO QQQ TR QQQ 46090E103 $79.1M 2.04% 107,254 SH
5 AMAZON COM INC AMZN 023135106 $71.3M 1.84% 288,642 SH
6 MICROSOFT CORP MSFT 594918104 $66.4M 1.71% 129,473 SH
7 ISHARES TR IVW 464287309 $58.3M 1.50% 409,681 SH
8 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $58.2M 1.50% 76,691 SH
9 ISHARES TR DGRO 46434V621 $54.7M 1.41% 726,068 SH
10 VANGUARD INDEX FDS VOO 922908363 $47.0M 1.21% 67,143 SH
11 ALPHABET INC GOOG 02079K107 $46.5M 1.20% 136,842 SH
12 ISHARES TR LQD 464287242 $36.3M 0.93% 354,906 SH
13 SCHWAB STRATEGIC TR SCHG 808524300 $35.3M 0.91% 983,084 SH
14 ALPHABET INC GOOGL 02079K305 $28.9M 0.74% 85,126 SH
15 SCHWAB STRATEGIC TR SCHD 808524797 $28.8M 0.74% 886,532 SH
16 ISHARES TR SHY 464287457 $27.3M 0.70% 335,881 SH
17 MICRON TECHNOLOGY INC MU 595112103 $26.6M 0.69% 25,928 SH
18 VANGUARD INDEX FDS VTI 922908769 $24.9M 0.64% 66,650 SH
19 META PLATFORMS INC META 30303M102 $24.2M 0.62% 33,356 SH
20 CROWDSTRIKE HLDGS INC CRWD 22788C105 $22.6M 0.58% 83,793 SH
21 CAPITAL GROUP DIVIDEND VALUE CGDV 14020W106 $22.2M 0.57% 458,774 SH
22 BROADCOM INC AVGO 11135F101 $22.1M 0.57% 62,893 SH
23 ADVANCED MICRO DEVICES INC AMD 007903107 $22.0M 0.57% 36,586 SH
24 ISHARES TR IVE 464287408 $21.5M 0.55% 94,483 SH
25 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $21.2M 0.55% 42,542 SH
26 ISHARES TR IJH 464287507 $20.0M 0.52% 278,055 SH
27 FIRST TR EXCHANGE TRADED FD RDVY 33738R506 $19.4M 0.50% 248,120 SH
28 CATERPILLAR INC CAT 149123101 $19.2M 0.49% 23,784 SH
29 JPMORGAN CHASE & CO JPM 46625H100 $18.0M 0.46% 54,493 SH
30 PALANTIR TECHNOLOGIES INC PLTR 69608A108 $17.9M 0.46% 95,826 SH
31 JOHNSON & JOHNSON JNJ 478160104 $17.5M 0.45% 66,705 SH
32 SELECT SECTOR SPDR TR XLK 81369Y803 $17.0M 0.44% 86,004 SH
33 ELI LILLY & CO LLY 532457108 $16.9M 0.43% 14,644 SH
34 ISHARES TR FLOT 46429B655 $16.4M 0.42% 321,834 SH
35 ISHARES TR IDV 464288448 $16.4M 0.42% 387,579 SH
36 CHEVRON CORPORATION CVX 166764100 $15.9M 0.41% 81,794 SH
37 SCHWAB STRATEGIC TR SCHX 808524201 $15.4M 0.40% 514,617 SH
38 ISHARES GOLD TR IAU 464285204 $15.3M 0.39% 196,143 SH
39 TESLA INC TSLA 88160R101 $14.8M 0.38% 41,649 SH
40 ISHARES TR IJR 464287804 $14.8M 0.38% 109,031 SH
41 SPDR GOLD TR GLD 78463V107 $14.7M 0.38% 38,698 SH
42 VANGUARD WORLD FD VGT 92204A702 $14.5M 0.37% 103,123 SH
43 VANGUARD INDEX FDS VB 922908751 $14.3M 0.37% 50,457 SH
44 ABBVIE INC ABBV 00287Y109 $14.3M 0.37% 54,707 SH
45 ISHARES TR IGSB 464288646 $13.9M 0.36% 270,533 SH
46 VANGUARD INDEX FDS VTV 922908744 $13.5M 0.35% 63,096 SH
47 VANECK ETF TRUST SMH 92189F676 $13.5M 0.35% 22,138 SH
48 COSTCO WHOLESALE CORPORATION COST 22160K105 $13.4M 0.34% 14,668 SH
49 FIRST TR EXCHANGE TRADED FD SDVY 33741X102 $12.9M 0.33% 318,763 SH
50 PACER FDS TR COWZ 69374H881 $12.8M 0.33% 194,160 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-23 $3.88B 1,325 0001420506-26-002366
2026-06-30 2026-08-07 $3.97B 1,404 0001420506-26-001464
2026-03-31 2026-05-04 $3.60B 1,309 0001420506-26-000793
2025-12-31 2026-01-30 $3.62B 1,295 0001420506-26-000121
Filer Information
Address
300 PARKLAND PLAZA
ANN ARBOR, MI 48103
Phone
(734) 663-1611
Filing Manager
Sigma Planning Corp
ANN ARBOR, MI
Signatory
Andrew D. Kilbarger
Chief Compliance Officer