Sigma Planning Corp — 13F Holdings & Portfolio
CIK 1449126 · latest 13F-HR filed 2026-05-04
Sigma Planning Corp manages $3.60B in 13F-reported U.S. long-equity assets across 1,309 reported positions as of its 2026-03-31 13F-HR filing. Its largest disclosed positions are IVV (5.42%), AAPL (4.31%), NVDA (3.10%). Quarter over quarter (versus its 2025-12-31 filing) the fund opened 133 new positions, exited 118, added to 415, and trimmed 405.
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.
$3.60B
Long-equity book
1,309
Distinct positions
2026-03-31
Filed 2026-05-04
+133 / −118 / ↑415 / ↓405
vs 2025-12-31
| Name | Title / Status | Ownership | Type |
|---|
Top Adds (vs prior quarter)
- CAPITAL GROUP DIVIDEND VALUE$5.2M +42.3%
- PIMCO ETF TR$4.8M +1045.4%
- CAPITAL GROUP GBL GROWTH EQT$4.6M +799.0%
- SCHWAB STRATEGIC TR$4.2M +18.9%
- EXXON MOBIL CORP$4.0M +38.7%
Top Trims
- MICROSOFT CORP-$15.4M -23.6%
- INVESCO QQQ TR-$14.3M -19.0%
- APPLE INC-$14.0M -8.2%
- NVIDIA CORPORATION-$10.9M -8.9%
- AMAZON COM INC-$8.5M -10.5%
New Positions
- ISHARES TR$8.3M
- BLACKROCK ETF TRUST$6.2M
- ISHARES TR$4.9M
- BLACKROCK ETF TRUST$4.7M
- LAZARD ACTIVE ETF TR$4.7M
Exited Positions
- FIRST TR EXCHNG TRADED FD VI$4.2M
- BLACKROCK ETF TRUST$4.1M
- FIRST TR EXCHNG TRADED FD VI$4.1M
- ETF SER SOLUTIONS$2.2M
- FIRST TR EXCHNG TRADED FD VI$1.6M
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 | $195.1M | 5.42% | 298,651 | SH |
| 2 | APPLE INC | AAPL | 037833100 | $155.3M | 4.31% | 611,864 | SH |
| 3 | NVIDIA CORPORATION | NVDA | 67066G104 | $111.6M | 3.10% | 639,702 | SH |
| 4 | AMAZON COM INC | AMZN | 023135106 | $72.7M | 2.02% | 349,269 | SH |
| 5 | INVESCO QQQ TR | QQQ | 46090E103 | $61.0M | 1.69% | 105,629 | SH |
| 6 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $56.0M | 1.55% | 86,031 | SH |
| 7 | ISHARES TR | DGRO | 46434V621 | $50.6M | 1.41% | 721,369 | SH |
| 8 | MICROSOFT CORP | MSFT | 594918104 | $50.0M | 1.39% | 135,061 | SH |
| 9 | ISHARES TR | IVW | 464287309 | $48.9M | 1.36% | 432,346 | SH |
| 10 | VANGUARD INDEX FDS | VOO | 922908363 | $48.0M | 1.33% | 80,249 | SH |
| 11 | ALPHABET INC | GOOG | 02079K107 | $39.4M | 1.09% | 137,435 | SH |
| 12 | ISHARES TR | LQD | 464287242 | $37.2M | 1.03% | 341,308 | SH |
| 13 | SCHWAB STRATEGIC TR | SCHG | 808524300 | $27.5M | 0.76% | 943,430 | SH |
| 14 | SCHWAB STRATEGIC TR | SCHD | 808524797 | $26.7M | 0.74% | 869,867 | SH |
| 15 | ISHARES TR | SHY | 464287457 | $25.0M | 0.70% | 303,288 | SH |
| 16 | BROADCOM INC | AVGO | 11135F101 | $23.9M | 0.67% | 77,373 | SH |
| 17 | ISHARES TR | IJH | 464287507 | $23.9M | 0.66% | 353,362 | SH |
| 18 | ISHARES TR | IVE | 464287408 | $22.8M | 0.63% | 107,919 | SH |
| 19 | ALPHABET INC | GOOGL | 02079K305 | $22.7M | 0.63% | 78,891 | SH |
| 20 | META PLATFORMS INC | META | 30303M102 | $22.5M | 0.63% | 39,379 | SH |
| 21 | ISHARES TR | IJR | 464287804 | $21.7M | 0.60% | 174,257 | SH |
| 22 | SPDR GOLD TR | GLD | 78463V107 | $20.1M | 0.56% | 46,617 | SH |
| 23 | ISHARES GOLD TR | IAU | 464285204 | $19.9M | 0.55% | 225,847 | SH |
| 24 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $19.1M | 0.53% | 39,833 | SH |
| 25 | ISHARES TR | AGG | 464287226 | $18.6M | 0.52% | 187,719 | SH |
| 26 | VANGUARD INDEX FDS | VTI | 922908769 | $18.3M | 0.51% | 57,145 | SH |
| 27 | FIRST TR EXCHANGE TRADED FD | RDVY | 33738R506 | $17.7M | 0.49% | 259,052 | SH |
| 28 | CAPITAL GROUP DIVIDEND VALUE | CGDV | 14020W106 | $17.5M | 0.49% | 411,828 | SH |
| 29 | ELI LILLY & CO | LLY | 532457108 | $16.9M | 0.47% | 18,320 | SH |
| 30 | JPMORGAN CHASE & CO | JPM | 46625H100 | $16.0M | 0.45% | 54,533 | SH |
| 31 | CATERPILLAR INC | CAT | 149123101 | $15.9M | 0.44% | 22,456 | SH |
| 32 | ISHARES TR | FLOT | 46429B655 | $15.7M | 0.44% | 308,804 | SH |
| 33 | CHEVRON CORPORATION | CVX | 166764100 | $15.7M | 0.44% | 75,995 | SH |
| 34 | TESLA INC | TSLA | 88160R101 | $15.6M | 0.43% | 42,041 | SH |
| 35 | ISHARES TR | IDV | 464288448 | $15.5M | 0.43% | 364,752 | SH |
| 36 | COSTCO WHOLESALE CORPORATION | COST | 22160K105 | $14.8M | 0.41% | 14,838 | SH |
| 37 | PACER FDS TR | COWZ | 69374H881 | $14.8M | 0.41% | 236,308 | SH |
| 38 | ISHARES TR | USMV | 46429B697 | $14.5M | 0.40% | 156,526 | SH |
| 39 | WALMART INC | WMT | 931142103 | $14.4M | 0.40% | 116,180 | SH |
| 40 | EXXON MOBIL CORP | XOM | 30231G102 | $14.4M | 0.40% | 84,822 | SH |
| 41 | VANGUARD INDEX FDS | VTV | 922908744 | $14.2M | 0.39% | 72,215 | SH |
| 42 | JOHNSON & JOHNSON | JNJ | 478160104 | $13.8M | 0.38% | 56,291 | SH |
| 43 | SCHWAB STRATEGIC TR | SCHX | 808524201 | $13.4M | 0.37% | 522,948 | SH |
| 44 | PALANTIR TECHNOLOGIES INC | PLTR | 69608A108 | $13.0M | 0.36% | 88,975 | SH |
| 45 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $12.9M | 0.36% | 97,010 | SH |
| 46 | ISHARES TR | IGSB | 464288646 | $12.6M | 0.35% | 239,111 | SH |
| 47 | ISHARES TR | IEFA | 46432F842 | $12.6M | 0.35% | 138,820 | SH |
| 48 | ABBVIE INC | ABBV | 00287Y109 | $12.4M | 0.34% | 56,826 | SH |
| 49 | FIRST TR EXCHANGE TRADED FD | SDVY | 33741X102 | $11.9M | 0.33% | 300,698 | SH |
| 50 | FIRST TR EXCHNG TRADED FD VI | BUFR | 33740F755 | $11.8M | 0.33% | 349,728 | SH |
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 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 |