Q3 2026 13F · SEC CIK 1449126

Sigma Planning Corp

Wealth managerFiled 2026-10-23 for Q3 2026. Open the filing ↗ · All SEC filings ↗

Reported 13F value: $3.9B
Reported positions: 1,318
Top holdings a year, 3 yrs: +21.3%
Assets under management: $6.1B

Sigma Planning Corp is a wealth manager that reported 1,318 positions worth $3.9B in its Q3 2026 13F, filed 2026-10-23. Its largest holdings were Ishares Tr (IVV, 5.6%), Apple Inc (AAPL, 4.9%), Nvidia Corporation (NVDA, 3.2%). A portfolio copying its top holdings returned 21.3% a year over the last 3 years, against 20.4% for the S&P 500.

Sigma Planning Corp holdings largest 50 of 1,318 positions.

Weights are shares of the filer's total reported 13F value, compared with Q2 2026. Share changes may reflect splits; weight changes also reflect price moves. A 13F shows long US-listed positions only, up to 135 days after the fact.

Sigma Planning Corp 13F holdings
Stock	% of 13F value	Q2 2026	Shares	Share change	Reported value
IVVIshares Tr	5.6%	5.3%	282,527	-0.1%	$216.1M
AAPLApple Inc	4.9%	4.2%	577,538	-0.4%	$191.5M
NVDANvidia Corporation	3.2%	2.8%	545,615	-1.3%	$123.7M
QQQInvesco Qqq Tr	2.0%	2.1%	107,254	-7.3%	$79.1M
AMZNAmazon Com Inc	1.8%	1.8%	288,642	-3.2%	$71.3M
MSFTMicrosoft Corp	1.7%	1.3%	129,473	-3.6%	$66.4M
IVWIshares Tr	1.5%	1.5%	409,681	-4.2%	$58.3M
SPYState Str Spdr S&p 500 ETF T	1.5%	1.5%	76,691	-4.8%	$58.2M
DGROIshares Tr	1.4%	1.4%	726,068	+0.6%	$54.7M
VOOVanguard Index Fds	1.2%	1.2%	67,143	-6.3%	$47.0M
GOOGAlphabet Inc	1.2%	1.2%	136,842	-0.0%	$46.5M
LQDIshares Tr	0.9%	0.9%	354,906	+5.7%	$36.3M
SCHGSchwab Strategic Tr	0.9%	0.8%	983,084	+1.8%	$35.3M
GOOGLAlphabet Inc	0.7%	0.8%	85,126	-0.9%	$28.9M
SCHDSchwab Strategic Tr	0.7%	0.7%	886,532	-4.1%	$28.8M
SHYIshares Tr	0.7%	0.7%	335,881	+4.9%	$27.3M
MUMicron Technology Inc	0.7%	0.7%	25,928	+3.1%	$26.6M
VTIVanguard Index Fds	0.6%	0.6%	66,650	-2.6%	$24.9M
METAMeta Platforms Inc	0.6%	0.5%	33,356	-7.7%	$24.2M
CRWDCrowdstrike Hldgs Inc	0.6%	0.4%	83,793	+266.7%	$22.6M
CGDVCapital Group Dividend Value	0.6%	0.6%	458,774	-1.3%	$22.2M
AVGOBroadcom Inc	0.6%	0.6%	62,893	-1.9%	$22.1M
AMDAdvanced Micro Devices Inc	0.6%	0.6%	36,586	-5.0%	$22.0M
IVEIshares Tr	0.6%	0.5%	94,483	-1.6%	$21.5M
BRK-BBerkshire Hathaway Inc Del	0.5%	0.5%	42,542	+0.2%	$21.2M
IJHIshares Tr	0.5%	0.5%	278,055	-0.5%	$20.0M
RDVYFirst Tr Exchange Traded Fd	0.5%	0.5%	248,120	-1.9%	$19.4M
CATCaterpillar Inc	0.5%	0.7%	23,784	-5.6%	$19.2M
JPMJpmorgan Chase & Co	0.5%	0.5%	54,493	-0.4%	$18.0M
PLTRPalantir Technologies Inc	0.5%	—	95,826	—	$17.9M
JNJJohnson & Johnson	0.5%	0.4%	66,705	+7.5%	$17.5M
XLKSelect Sector Spdr Tr	0.4%	0.4%	86,004	-0.6%	$17.0M
LLYEli Lilly & Co	0.4%	0.4%	14,644	-0.4%	$16.9M
FLOTIshares Tr	0.4%	0.4%	321,834	+12.2%	$16.4M
IDVIshares Tr	0.4%	0.4%	387,579	+5.1%	$16.4M
CVXChevron Corporation	0.4%	0.3%	81,794	-1.4%	$15.9M
SCHXSchwab Strategic Tr	0.4%	0.4%	514,617	+1.4%	$15.4M
IAUIshares Gold Tr	0.4%	0.4%	196,143	-11.1%	$15.3M
TSLATesla Inc	0.4%	0.4%	41,649	+2.5%	$14.8M
IJRIshares Tr	0.4%	0.5%	109,031	-19.2%	$14.8M
GLDSpdr Gold Tr	0.4%	0.4%	38,698	-12.2%	$14.7M
VGTVanguard World Fd	0.4%	—	103,123	—	$14.5M
VBVanguard Index Fds	0.4%	—	50,457	—	$14.3M
ABBVAbbvie Inc	0.4%	0.4%	54,707	-2.3%	$14.3M
IGSBIshares Tr	0.4%	0.3%	270,533	+10.7%	$13.9M
VTVVanguard Index Fds	0.3%	0.4%	63,096	-10.9%	$13.5M
SMHVaneck ETF Trust	0.3%	0.4%	22,138	-10.3%	$13.5M
COSTCostco Wholesale Corporation	0.3%	0.4%	14,668	-6.8%	$13.4M
SDVYFirst Tr Exchange Traded Fd	0.3%	0.3%	318,763	+0.2%	$12.9M
COWZPacer Fds Tr	0.3%	0.4%	194,160	-15.5%	$12.8M

What Sigma Planning Corp bought and sold in Q3 2026, against Q2 2026.

New positions

Q2 2026's filing was too long to tell new positions apart.

Share counts compared with the Q2 2026 13F; a split also changes share counts. The latest filing lists more than 50 positions, so a position that left the top 50 may still be held.

How the holdings did against the S&P 500.

1 year: +19.4% /yr; S&P 500 +20.1%
3 years: +21.3% /yr; S&P 500 +20.4%
5 years: +11.8% /yr; S&P 500 +11.6%

A portfolio of the filer's 20 largest 13F positions, weighted by value, bought the trading day after each 13F was filed and held until the next one was: what copying this filer could have earned. 13Fs show long US-listed positions only, so this is an estimate of the stock picks, not the fund's reported returns.

Reported 13F value by quarter.

13F value by quarter
Quarter	13F value	Positions
Q3 2026	$3.9B	1,318
Q2 2026	$4.0B	1,394
Q1 2026	$3.6B	1,302
Q4 2025	$3.6B	1,287
Q3 2025	$3.5B	1,282
Q2 2025	$3.3B	1,238
Q1 2025	$3.1B	1,190
Q4 2024	$3.2B	1,157
Q3 2024	$3.3B	1,204
Q2 2024	$3.2B	1,177
Q1 2024	$3.2B	1,214
Q4 2023	$1.3B	838

Questions about Sigma Planning Corp's portfolio

What stocks does Sigma Planning Corp own?

Sigma Planning Corp's latest 13F, for Q3 2026 and filed Oct 23, 2026, lists 1,318 positions worth $3.9B. The largest are Ishares Tr (IVV) at 5.6%, Apple Inc (AAPL) at 4.9%, Nvidia Corporation (NVDA) at 3.2%, Invesco Qqq Tr (QQQ) at 2.0% and Amazon Com Inc (AMZN) at 1.8%.

What did Sigma Planning Corp buy last quarter?

In Q3 2026, Sigma Planning Corp added Crowdstrike Hldgs Inc (CRWD) (+266.7% shares), Ishares Tr (FLOT) (+12.2% shares) and Ishares Tr (IGSB) (+10.7% shares), compared with its Q2 2026 filing.

What did Sigma Planning Corp sell last quarter?

In Q3 2026, Sigma Planning Corp cut from its top 50 Walmart Inc (WMT), cut from its top 50 Ishares Tr (IMCG), cut from its top 50 First Tr Exchng Traded Fd Vi (BUFR), Ishares Tr (IJR) (-19.2% shares), Pacer Fds Tr (COWZ) (-15.5% shares) and Spdr Gold Tr (GLD) (-12.2% shares), compared with its Q2 2026 filing.

How has Sigma Planning Corp's portfolio performed?

A portfolio copying Sigma Planning Corp's 20 largest 13F holdings each quarter, from the day each filing was public, returned +21.3% a year over the last 3 years, against +20.4% for the S&P 500. Over 1 year: +19.4% against +20.1%. Over 5 years: +11.8% a year against +11.6%.

When is Sigma Planning Corp's next 13F filing due?

13F filings are due 45 days after each quarter ends. Sigma Planning Corp's filing for the quarter ending Dec 31, 2026 is due by Feb 14, 2027; this page updates the day after it is published.

How much money does Sigma Planning Corp manage?

Sigma Planning Corp reported $6.1B of regulatory assets under management on its latest SEC Form ADV. Its 13F, which covers only US-listed stocks and options, totals $3.9B.