Sigma Planning Corp
SEC Form 13F institutional filer · CIK 0001449126
13F-HR · 345 reported holdings · 2026-03-31
SEC-registered institutional investment manager.
Reported long-US-equity value
$2.25B
Top-10 concentration
49.5%
Sigma Planning Corp — $2.25B AUM allocation strategy
Sigma Planning Corp files SEC Form 13F and reports $2.25B of long US equity value across 345 reported holdings for 2026-03-31.
Its largest sector bet is Information Technology 15.1%, followed by Financials 12.0% and Communication Services 3.8%.
The top 10 holdings account for 49% of reported value — a broadly spread portfolio. The sector and industry splits below are of the same reported value. Track quarter-over-quarter adds, trims, new positions and exits below — sourced from SEC 13F filings, public domain.
Sigma Planning Corp — latest SEC 13F insights
Reported long-US-equity value (13F AUM)
$2.25B
total across 345 reported holdings · 2026-03-31 · excludes shorts, cash, non-US
Top-10 concentration
49% of value
higher = narrower conviction; lower = spread / hedging
Biggest adds (shares)
+$DOC +71.2K sh · +$1.17M+$HBAN +56.6K sh · +$865K+$SCHW +46.7K sh · +$1.95M
Biggest trims (shares)
−$XLF −43.2K sh · −$3.17M−$IVZ −33.6K sh · +$1.05M−$CSCO −20.2K sh · −$1.53M
Exited to nil (held last quarter, gone now)
$TTWO ($1.49M last qtr)$DLTR ($1.02M last qtr)$IDXX ($859K last qtr)$STE ($566K last qtr)$IR ($477K last qtr)
Sector allocation (share of reported value)
each slice is a share of the reported long-US-equity value — smaller sectors and the rest of the book roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Industry allocation (share of reported value)
- Technology Hardware, Storage & Peripherals6.9%—
- Semiconductors6.0%—
- Asset Management & Custody Banks5.9%—
- Interactive Media & Services3.8%—
- Investment Banking & Brokerage3.5%—
- Broadline Retail3.2%—
- Systems Software2.2%—
- Financial Exchanges & Data1.8%—
- Other holdings66.7%—
the finer GICS cut of the same book — same denominator — smaller industries roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Top S&P 500 holdings
6 of 6 rows · sorted by Value ↓
| Ticker | Holding | Shares | Value | Δ QoQ | Weight |
|---|---|---|---|---|---|
| $AAPL | Apple Inc | 612K | $155M | -9.97K | 6.9% |
| $NVDA | NVIDIA Corporation | 640K | $112M | -16.5K | 5.0% |
| $SCHW | Charles Schwab Corporation | 2.67M | $79.2M | +46.7K | 3.5% |
| $AMZN | Amazon.com Inc | 349K | $72.7M | -2.49K | 3.2% |
| $BLK | BlackRock Inc | 700K | $69.6M | -9.84K | 3.1% |
| $IVZ | Invesco Ltd | 1.17M | $62.9M | -33.6K | 2.8% |
…and 339 more holdings in the full 13F filing (top positions only shown).
SEC Form 13F data sets · public domain · 45-day filing lag · >$100M AUM managers · as reported
← All 13F filers·← QuantOrb.pro
How to read Δ QoQ — the five insight categories, and the caveats
The categories. Analysts, quants and retail traders look past total portfolio value to isolate actionable signals. Five categories matter.
Conviction & concentration shifts
New positions vs complete exits — a brand-new stock signals high conviction; a full liquidation suggests a broken thesis or tax-loss harvesting. Aggressive sizing — look at share count, not dollars: a 20% share increase during a drawdown is strong dip-buying. Concentration — a narrowing top-5/10 means conviction; spreading capital across more names means hedging.
Sector & macro allocation rotations
Aggregating Δ QoQ moves across sectors shows where smart money is leaning in or sneaking out — rotating out of growth into defensives or energy, for example. The fund's total long equity exposure quarter-over-quarter is a proxy for overall institutional risk appetite.
Crowding & smart-money consensus
When several managers initiate or expand the same stock in the same quarter, that is institutional consensus. Contrarian reads: top pickers buying hard into a beaten-down name the market is selling.
Derivative & option overlays
Reported call/put changes indicate whether managers are adding downside hedges or leveraging upside exposure. Note: a long increase may be half of a market-neutral pair trade.
Who reads this
| Retail "cloners" | High-conviction ideas to replicate ~45 days after quarter-end. |
| Corporate IR | Which funds bought or dumped the stock, before the next call. |
| Quant / algo traders | Cross-sectional factor inputs: flow, momentum, ownership. |
Four caveats before you trade on it
- 45-day lag — holdings are quarter-end; positions may already be closed.
- Long-only — 13Fs miss shorts, pair trades and cash.
- No non-US / fixed income — the picture is US equities plus options.
- Corporate actions — splits and spinoffs distort raw share deltas.
Newsletter signup
Free subscription. Daily trading day morning dispatch. No spam.