Sigma Planning Corp

Q3 2023 13F-HR Holdings

Location
Ann Arbor, MI
Holdings as of
9/30/2023
Date filed
11/6/2023
Form type
13F-HR
Num holdings
1,197
Total value ($000)
$2,667,745
Net value change ($000)
-117,203 (-4.2%)
New positions
112
Sold out positions
123
Turnover %
3.8%
Sector allocation + QoQ delta (equities-only)
Prev filing: 8/2/2023 Next filing: 2/1/2024 SEC filing

Snapshot: Change Analysis

Compared to Q2 2023
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
XAUG 10,858 NEW
ABBV 6,482 52.0%
XOM 4,556 39.4%
XLI 4,107 113.0%
ABT 3,234 138.3%
AOA 3,155 1495.3%
MOAT 2,950 19.3%
IWM 2,804 108.9%
CXM 2,604 NEW
XLE 2,032 17.0%
Top Reduces (Value $000, Stocks/ETFs)
AAPL -23,568 -14.7%
IVV -7,949 -5.4%
MSFT -4,867 -8.4%
IJR -4,638 -19.0%
TSLA -4,444 -22.3%
EFA -3,878 -74.3%
AZO -3,706 -92.4%
UPS -3,683 -60.0%
CMG -3,440 -86.3%
FTSM -2,980 -19.2%
Instrument mix + QoQ Δ (ex-options)
Derivatives reported exposure ($000): 108 (0.0% of total reported value)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type