Sigma Planning Corp

Registered adviser

CIK

1449126

Location

ANN ARBOR, MI

Portfolio Value

Mid $3,721,970,635

Diversification

Diversified

Filing Date

Global Rank

#1,040 / 8,818 ▼ 36 · as of Jun 2026

Top Industry

Semiconductors 14.5%

Period ended 28 days ago

Filed Oct 23, 2026 · 5d

27 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 110692

Roster of Oct 1, 2026

Regulatory AUM

$6,102,465,817

Main clients

Individuals and high net worth (96% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$6,102,465,817	Individuals and high net worth (96%)
Apr 2025 to Mar 2026	$5,655,661,675	Individuals and high net worth (97%)
Apr 2024 to Mar 2025	$5,562,939,194	Individuals and high net worth (97%)
May 2023 to Mar 2024	$5,964,256,852	Individuals and high net worth (98%)
Apr 2023	$5,964,256,852	Individuals and high net worth (98%)
Apr 2022 to Mar 2023	$6,859,365,285	Individuals and high net worth (98%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 42.2%, 20.8 effective positions, active share 52.0% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

25.2% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 21.3 quarters (12+), a floor since 68.8% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 52.0%; sector active share 45.8% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

1,311 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

20.4%

+0.5 pts

Top 5

35.3%

+2.2 pts

Top 10

44.7%

+2.6 pts

HHI

516

Diversified+36

Portfolio Trend

27 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	57.2%	$2,128,540,705	699
Technology	17.6%	$655,562,318	97
Financial Services	4.3%	$161,173,417	117
Healthcare	3.6%	$135,423,112	68
Industrials	3.6%	$133,954,396	91
Consumer Cyclical	3.5%	$130,985,659	39
Communication Services	3.4%	$125,220,904	21
Consumer Defensive	2.3%	$84,492,502	36
Energy	1.9%	$72,090,656	48
Utilities	1.1%	$41,317,778	27
Real Estate	0.8%	$29,519,588	33
Basic Materials	0.6%	$23,689,600	35

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
BEAT	HeartBeam, Inc.	+139,500	387,200	$142,102
FSK	FS KKR Capital Corp	+134,416	258,954	$2,845,904
SCIO	First Trust Structured Credit Income Opportunities ETF	+83,613	123,427	$2,459,900
DYNF	iShares U.S. Equity Factor Rotation Active ETF	+77,936	153,024	$10,598,442
DDFL		+76,987	109,106	$2,360,508
LENS	Sarmaya Thematic ETF	+68,455	136,141	$5,836,092
CRWD	CrowdStrike Holdings, Inc.	+60,945	83,793	$22,184,196
PYLD		+54,088	83,890	$2,129,967
KHC	Kraft Heinz Co	+53,594	195,330	$4,437,897
FTCB	First Trust Core Investment Grade ETF	+50,620	404,542	$7,985,659
BALT		+45,913	233,128	$8,147,823
BKLC	BNY Mellon US Large Cap Core Equity ETF	+40,023	60,965	$2,978,749
IAG	Iamgold Corp	+38,802	80,462	$1,481,305
BUFY	FT Vest Laddered International Moderate Buffer ETF	+37,074	58,428	$1,386,496
GIS	General Mills Inc	+36,280	137,808	$4,431,905
IALT		+35,546	50,841	$1,518,112
FLOT	iShares Floating Rate Bond ETF	+35,012	321,834	$16,429,625
SKT	Tanger Inc.	+35,004	49,923	$1,712,358
CMCSA	Comcast Corp	+33,926	59,645	$1,297,875
PGC	Peapack Gladstone Financial Corp	+30,000	35,000	$1,526,700
FBCG	Fidelity Covington Trust	+29,417	149,052	$9,421,576
FPEI	First Trust Institutional Preferred Securities and Income ETF	+27,802	109,771	$2,024,177
MNST	Monster Beverage Corp	+27,516	35,807	$1,490,287
BUFZ	FT Vest Laddered Moderate Buffer ETF	+26,618	55,637	$1,587,768
IGSB	iShares 1-5 Year Investment Grade Corporate Bond ETF	+26,212	270,533	$13,859,405
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
RUM	RUM Group Inc.	−200,033	12,688	$95,921
IDEF		−171,039	19,360	$604,554
CPB	CAMPBELL'S Co	−135,770	32,406	$642,610
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	−94,527	89,297	$5,470,334
FTGS	First Trust Growth Strength ETF	−70,097	18,835	$714,223
FPE	First Trust Preferred Securities and Income ETF	−68,359	105,804	$1,803,958
HBAN	Huntington Bancshares Inc	−57,409	15,873	$242,221
CGMM	Capital Group U.S. Small and Mid Cap ETF	−56,400	82,727	$2,561,227
BWAY	Brainsway Ltd.	−49,800	50,635	$668,382
SVM	Silvercorp Metals Inc	−40,801	42,583	$454,360
FJAN	FT Vest U.S. Equity Buffer ETF - January	−38,775	31,739	$1,795,475
SCHD	Schwab U.S. Dividend Equity ETF	−37,527	886,532	$28,838,885
JBS	Jbs N.V.	−37,466	56,632	$639,375
—		−37,400	120,534	$0
COWZ	Pacer US Cash Cows 100 ETF	−35,719	194,160	$12,962,121
FFSM	Fidelity Fundamental Small-Mid Cap ETF	−34,170	24,974	$844,870
CGGO	Capital Group Global Growth Equity ETF	−31,644	26,254	$1,044,384
AGG	iShares Core U.S. Aggregate Bond ETF	−31,396	74,183	$7,013,260
BLV	VANGUARD LONG-TERM BOND INDEX FUND	−28,892	27,803	$1,744,082
SPHQ	Invesco S&P 500 Quality ETF	−28,887	57,533	$4,837,374
DNP	Dnp Select Income Fund Inc	−28,445	47,796	$457,407
IJR	iShares Core S&P Small-Cap ETF	−25,972	109,031	$14,832,577
CGDG	Capital Group Dividend Growers ETF	−25,017	30,701	$1,136,858
CGXU	Capital Group International Focus Equity ETF	−24,780	48,013	$1,646,365
IAU	Ishares Gold Trust	−24,475	196,143	$15,318,768
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
AFGR	First Trust Exchange-Traded Fund VIII	68,323	$2,591,491
TVTX	Travere Therapeutics, Inc.	35,090	$2,066,099
FJUL	FT Vest U.S. Equity Buffer ETF - July	26,403	$1,616,127
PNTG	Pennant Group, Inc.	40,330	$1,572,870
CCI	Crown Castle Inc.	22,308	$1,486,828
WDAY	Workday, Inc.	7,122	$1,356,456
NTAP	NetApp, Inc.	6,410	$1,346,612
CNC	Centene Corp	20,829	$1,293,897
FESM	Fidelity Enhanced Small Cap Core ETF	27,595	$1,240,395
INCY	Incyte Corp	10,108	$1,226,605
AEHR	Aehr Test Systems	11,823	$1,177,807
LBRX	Lb Pharmaceuticals Inc	30,000	$1,151,400
TRGP	Targa Resources Corp.	4,222	$1,141,248
SMTC	Semtech Corp	6,306	$1,124,675
ARGX	Argenx SE	1,071	$1,026,992
AME	Ametek Inc	4,136	$1,024,611
NMM	Navios Maritime Partners L.P.	11,250	$1,011,487
RAPP	Rapport Therapeutics, Inc.	30,000	$1,008,000
OVV	Ovintiv Inc.	16,079	$929,687
SHIP	Seanergy Maritime Holdings Corp.	56,000	$918,960
SNEX	StoneX Group Inc.	13,172	$851,438
IMAR		26,473	$807,405
CVE	Cenovus Energy Inc.	25,963	$806,930
KJUN		27,738	$803,414
FSLY	Fastly, Inc.	30,233	$776,081
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
ZROZ	PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund	36,272	$2,325,035
EDV	Vanguard World Fund	35,302	$2,297,454
COHR	Coherent Corp.	5,310	$2,094,635
FLEX	Flex Ltd.	11,680	$1,892,977
NBIX	Neurocrine Biosciences Inc	10,008	$1,686,748
QGRW	WisdomTree U.S. Quality Growth Fund	24,578	$1,622,885
APLD	Applied Digital Corp.	42,189	$1,573,649
MTSI	MACOM Technology Solutions Holdings, Inc.	4,026	$1,531,369
STRO	Sutro Biopharma, Inc.	45,020	$1,494,664
DYNB	Hartford Dynamic Bond ETF	37,778	$1,484,335
ROCQ	JPMorgan NASDAQ Equity Premium Yield ETF	24,004	$1,384,070
DCOR	Dimensional ETF Trust	16,149	$1,323,895
BHP	BHP Group Ltd	15,836	$1,319,297
MCHP	Microchip Technology Inc	13,966	$1,273,699
DDOG	Datadog, Inc.	4,702	$1,224,212
DINT	Davis Select International ETF	42,288	$1,205,208
AA	Alcoa Corp	22,913	$1,194,683
ESI	Element Solutions Inc	25,000	$1,193,750
CW	Curtiss Wright Corp	1,567	$1,187,409
DGII	Digi International Inc	15,000	$1,124,250
UEVM	VictoryShares Emerging Markets Value Momentum ETF	18,428	$1,068,658
AXIAY	AXIA Energia S.A.	100,472	$1,060,984
JMTG	JPMorgan Mortgage-Backed Securities ETF	20,889	$1,058,654
XTWY	BondBloxx Bloomberg Twenty Year Target Duration US Treasury ETF	27,223	$1,021,815
CVIE	Calvert International Responsible Index ETF	11,984	$1,018,795
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

1,311 tracked positions · $3,721,970,635 total · filing declares 1,325 positions · $3,883,923,158 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 1,311 positions by value · page 1 of 27

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
IVV	iShares Core S&P 500 ETF	Reduced	282,527	-246	$216,373,302	+2.2%	5.81%
AAPL	Apple Inc. Technology	Reduced	577,538	-2,225	$192,331,704	+14.6%	5.17%
NVDA	Nvidia Corp Technology	Reduced	545,615	-34,549	$124,607,553	+12.3%	3.35%
QQQ	Invesco Qqq Trust, Series 1	Reduced	107,254	-8,473	$79,343,291	−6.9%	2.13%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	288,642	-9,643	$71,915,154	+1.2%	1.93%
MSFT	Microsoft Corp Technology	Reduced	129,473	-4,813	$66,406,701	+32.6%	1.78%
SPY	Spdr S&P 500 ETF Trust PUT + SHARES	Reduced	99,591	-39,694	$58,525,090	−3.0%	1.57%
IVW	iShares S&P 500 Growth ETF	Reduced	409,681	-18,002	$58,281,219	−0.9%	1.57%
DGRO	iShares Core Dividend Growth ETF	Added	726,068	+4,624	$54,738,266	+0.1%	1.47%
VOO	VANGUARD 500 INDEX FUND	Reduced	67,143	-4,499	$47,057,842	−4.4%	1.26%
GOOG	Alphabet Inc. Communication Services	Reduced	136,842	-44	$46,627,543	−3.6%	1.25%
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	Added	354,906	+19,001	$36,264,295	−1.0%	0.97%
SCHG	Schwab U.S. Large-Cap Growth ETF	Added	983,084	+17,839	$35,322,208	+8.1%	0.95%
MU	Micron Technology Inc CALL + SHARES Technology	Added	27,828	+2,272	$29,639,881	+0.5%	0.80%
GOOGL	Alphabet Inc. Communication Services	Reduced	85,126	-812	$29,290,154	−4.6%	0.79%
SCHD	Schwab U.S. Dividend Equity ETF	Reduced	886,532	-37,527	$28,838,885	−1.6%	0.77%
SHY	iShares 1-3 Year Treasury Bond ETF	Added	335,881	+15,587	$27,273,537	+3.7%	0.73%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Reduced	66,650	-1,783	$24,943,096	−1.5%	0.67%
META	Meta Platforms, Inc. Communication Services	Reduced	33,356	-2,791	$24,189,104	+18.8%	0.65%
CGDV	Capital Group Dividend Value ETF	Reduced	458,774	-5,824	$22,411,109	−2.1%	0.60%
AMD	Advanced Micro Devices Inc Technology	Reduced	36,586	-1,917	$22,381,851	+0.1%	0.60%
CRWD	CrowdStrike Holdings, Inc. Technology	Added	83,793	+60,945	$22,184,196	+27.2%	0.60%
AVGO	Broadcom Inc. Technology	Reduced	62,893	-1,217	$22,087,392	−8.8%	0.59%
IVE	iShares S&P 500 Value ETF	Reduced	94,483	-1,543	$21,568,579	−1.1%	0.58%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	42,542	+75	$21,183,788	−0.3%	0.57%
IJH	iShares Core S&P Mid-Cap ETF	Reduced	278,055	-1,354	$20,006,057	−7.1%	0.54%
RDVY	First Trust Rising Dividend Achievers ETF	Reduced	248,120	-4,702	$19,425,314	−5.2%	0.52%
CAT	Caterpillar Inc Industrials	Reduced	23,784	-1,405	$19,283,829	−28.1%	0.52%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	54,493	-221	$18,027,919	+0.7%	0.48%
PLTR	Palantir Technologies Inc. Technology	Added	95,826	+10,600	$17,924,253	+80.3%	0.48%
JNJ	Johnson & Johnson Healthcare	Added	66,705	+4,676	$17,659,481	+12.1%	0.47%
LLY	ELI LILLY & Co Healthcare	Reduced	14,644	-52	$16,944,279	−3.9%	0.46%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Reduced	86,004	-540	$16,835,283	+2.1%	0.45%
CVX	Chevron Corp Energy	Reduced	81,794	-1,199	$16,703,152	+21.4%	0.45%
FLOT	iShares Floating Rate Bond ETF	Added	321,834	+35,012	$16,429,625	+12.2%	0.44%
IDV	iShares International Select Dividend ETF	Added	387,579	+18,648	$16,351,958	+7.0%	0.44%
SCHX	Schwab U.S. Large-Cap ETF	Added	514,617	+6,872	$15,438,510	+3.3%	0.41%
IAU	Ishares Gold Trust	Reduced	196,143	-24,475	$15,318,768	−8.0%	0.41%
IJR	iShares Core S&P Small-Cap ETF	Reduced	109,031	-25,972	$14,832,577	−25.9%	0.40%
TSLA	Tesla, Inc. Consumer Cyclical	Added	41,649	+1,009	$14,777,481	−13.5%	0.40%
GLD	Spdr Gold Trust	Reduced	38,698	-5,373	$14,737,746	−9.2%	0.40%
VB	Vanguard Index Funds	Added	50,457	+9,814	$14,354,511	+16.5%	0.39%
ABBV	AbbVie Inc. Healthcare	Reduced	54,707	-1,279	$14,310,804	+1.6%	0.38%
IGSB	iShares 1-5 Year Investment Grade Corporate Bond ETF	Added	270,533	+26,212	$13,859,405	+8.2%	0.37%
VTV	VANGUARD VALUE INDEX FUND	Reduced	63,096	-7,706	$13,633,783	−11.6%	0.37%
SMH	VanEck Semiconductor ETF	Reduced	22,138	-2,540	$13,482,042	−16.7%	0.36%
COST	Costco Wholesale Corp Consumer Defensive	Reduced	14,668	-1,062	$13,352,867	−9.3%	0.36%
COWZ	Pacer US Cash Cows 100 ETF	Reduced	194,160	-35,719	$12,962,121	−9.3%	0.35%
VGT	VANGUARD INFORMATION TECHNOLOGY INDEX FUND	Added	103,123	+9,443	$12,959,467	+15.7%	0.35%
SDVY	First Trust SMID Cap Rising Dividend Achievers ETF	Added	318,763	+516	$12,935,402	−5.8%	0.35%

Showing the top 50 of 1,311 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.