Sigma Planning Corp

In its 13F for Q4 2024 (holdings as of December 31, 2024, filed February 3, 2025), Sigma Planning Corp reported 1,156 stock positions worth $3.2 billion. Its top holding was iShares Core S&P 500 ETF (IVV) at 6.2% of the portfolio, followed by Apple (AAPL, 5.5%) and Nvidia (NVDA, 2.9%). Compared with Q3 2024, it opened 67 new positions, sold out of 114, added to 496 and reduced 564. The biggest buy was Nvidia (NVDA, shares +1%) and the biggest sale FT Vest U.S. Equity Buffer E (FDEC, shares −87%).

Most Recent 13F
Q2 2026
Location
ANN ARBOR, MI
CIK
0001449126
Portfolio Value
$3.2B (Q4 2024)
SEC Filing
0001420506-25-000109 ↗ filed Feb 3, 2025

Holdings Value

0$1.0B$2.0B$3.0B$4.0B Q1 2024: $3.2B Q1 2024 Q2 2024: $3.2B Q2 2024 Q3 2024: $3.3B Q3 2024 Q4 2024: $3.2B $3.2B Q4 2024 Q1 2025: $3.1B Q1 2025 Q2 2025: $3.3B Q2 2025 Q3 2025: $3.5B Q3 2025 Q4 2025: $3.6B Q4 2025 Q1 2026: $3.6B Q1 2026 Q2 2026: $4.0B Q2 2026

Holdings 1,156 stocks · $3.2B

IVV iShares Core S&P 500 ETF 6.16% 333,448 $196.3M Reduce -0.2%
AAPL Apple Inc. 5.46% 693,734 $173.7M Reduce -2.2%
NVDA Nvidia Corp. 2.88% 682,184 $91.6M Add +0.6%
AMZN Amazon.com Inc. 2.30% 334,488 $73.4M Reduce -6.6%
QQQ Invesco QQQ Trust Series 1 2.22% 138,533 $70.8M Reduce -4.1%
MSFT Microsoft Corp. 1.98% 149,276 $62.9M Reduce -6.2%
SPY SS SPDR S&P 500 ETF Trust-US 1.71% 93,127 $54.6M Reduce -15.0%
VOO Vanguard S&P 500 ETF 1.65% 97,625 $52.6M Reduce -0.0%
IVW iShares S&P 500 Growth ETF 1.50% 470,456 $47.8M Reduce -7.2%
DGRO iShares Core Dividend Growth 1.16% 604,730 $37.1M Reduce -6.9%
LQD Ishr Ibx Usd Invgd CB ETF-Ui 1.03% 306,697 $32.8M Reduce -3.3%
COWZ Pacer US Cash Cows 100 ETF 0.96% 540,958 $30.6M Reduce -7.4%
GOOG Alphabet Inc. Class C 0.88% 146,329 $27.9M Reduce -6.6%
BRK.B Berkshire Hathaway Inc. Class B 0.83% 58,605 $26.6M Reduce -5.9%
SCHG Schwab US Large-Cap Growth 0.83% 943,852 $26.3M Add +11.4%
SCHD Schwab US DVD Equity ETF 0.78% 907,541 $24.8M Add +2.0%
IJH iShares Core S&P Midcap ETF 0.74% 378,925 $23.6M Add +2.0%
IJR iShares Core S&P Small-Cap E 0.72% 199,779 $23.0M Add +0.3%
IVE iShares S&P 500 Value ETF 0.65% 108,186 $20.7M Reduce -4.1%
SHY iShares 1-3 Year Treasury Bo 0.60% 234,399 $19.2M Add +7.4%
META Meta Platforms Inc. Class A 0.60% 32,632 $19.1M Add +5.4%
ABBV Abbvie Inc. 0.60% 107,138 $19.0M Reduce -2.1%
MOAT Vaneck Morningstar Wide Moat 0.59% 201,474 $18.7M Add +1.4%
SDVY First Trust Smid Cap Rising 0.59% 521,050 $18.7M Add +22.7%
TSLA Tesla Inc. 0.56% 44,354 $17.9M Add +8.9%
IGLB iShares 10+ Year Inv GR Corp. 0.54% 349,126 $17.2M Reduce -3.1%
AGG iShares Core U.S. Aggregate 0.54% 177,651 $17.2M Reduce -4.6%
JPM JPMorgan Chase & Co. 0.53% 70,958 $17.0M Reduce -0.1%
RSP Invesco S&P 500 Equal Weight 0.50% 90,158 $15.8M Add +3.8%
COST Costco Wholesale Corp. 0.49% 17,111 $15.7M Reduce -0.7%
GOOGL Alphabet Inc. Class A 0.49% 82,388 $15.6M Add +1.3%
GLD SPDR Gold Shares 0.47% 61,312 $14.8M Reduce -16.6%
HD Home Depot Inc. 0.46% 37,693 $14.7M Add +17.0%
BUFR FT Vest Lad Buffervetf-Usd I 0.46% 476,939 $14.5M Add +13.8%
IOO iShares Global 100 ETF 0.45% 140,855 $14.2M Reduce -13.8%
AVGO Broadcom Inc. 0.44% 61,019 $14.1M Add +1.3%
MUB iShares National Muni Bond E 0.44% 132,706 $14.1M Reduce -8.4%
USMV iShares MSCI USA Min Vol Fac 0.44% 156,650 $13.9M Reduce -3.1%
LLY Eli Lilly & Co. 0.42% 17,339 $13.4M Reduce -7.4%
VTI VG Morningstar TS MKT ETF-US 0.42% 46,037 $13.3M Reduce -2.6%
SCHX Schwab US Large-Cap ETF 0.42% 573,815 $13.3M Reduce -0.5%
QUAL iShares MSCI USA Quality Fac 0.41% 73,676 $13.1M Add +4.6%
IGIB iShares 5-10Y Inv Grade Corp. 0.41% 252,653 $13.0M Add +0.2%
FLOT iShares Floating Rate Bond E 0.39% 246,209 $12.5M Reduce -17.3%
V Visa Inc. Class A 0.39% 38,920 $12.3M Reduce -3.5%
JEPI JPMorgan Equity Premium Inco 0.39% 213,102 $12.3M Reduce -21.7%
XLK SS Technology Select Sector 0.38% 51,624 $12.0M Add +1.7%
IUSV iShares Core S&P U.S. Value 0.37% 125,729 $11.6M Add +6.5%
VTV Vanguard Mrngstr Val ETF-Aui 0.37% 68,693 $11.6M Add +0.8%
PG The Procter & Gamble Co. 0.31% 59,525 $10.0M Reduce -14.2%
CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE 0.31% 282,413 $10.0M Reduce -3.4%
IMCG iShares Morningstar Mid-Cap 0.31% 131,788 $10.0M Add +11.1%
BIV Vanguard Intermediate-Term B 0.31% 133,040 $9.9M Reduce -13.3%
FIXD First Trust Smith Opportunis 0.31% 230,210 $9.9M Reduce -33.0%
WMT Walmart Inc. 0.31% 108,496 $9.8M Reduce -16.4%
CAT Caterpillar Inc. 0.30% 26,353 $9.6M Add +6.1%
IEFA iShares Core MSCI Eafe ETF 0.30% 135,084 $9.5M Reduce -0.1%
XOM Exxon Mobil Corp. 0.29% 86,544 $9.3M Reduce -5.1%
JNJ Johnson & Johnson 0.28% 60,619 $8.8M Reduce -2.5%
CRM Salesforce Inc. 0.27% 25,620 $8.6M Add +2.5%
VZ Verizon Communications Inc. 0.26% 210,952 $8.4M Reduce -11.9%
TDIV FT Nasdaq Tech DVD Index FD 0.26% 106,605 $8.4M Add +4.3%
NEE Nextera Energy Inc. 0.26% 114,802 $8.2M Reduce -4.3%
CVX Chevron Corp. 0.26% 56,810 $8.2M Add +12.9%
BNDX Vanguard Total Intl Bond ETF 0.26% 166,984 $8.2M Reduce -6.6%
FV First Trust DW Focus 5 Fund 0.26% 138,366 $8.2M Add +11.6%
AIRR First Trust Rba American Ind 0.25% 105,244 $8.1M Add +5.4%
XLV SS Health Care Select Sector 0.25% 58,615 $8.1M Reduce -1.1%
RDVY First Trust Rising Dividend 0.25% 135,279 $8.0M Reduce -0.6%
IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS 0.25% 36,103 $7.9M Add +5.8%
ABT Abbott Laboratories 0.25% 70,070 $7.9M Reduce -3.8%
ITOT iShares Core S&P Total U.S. 0.25% 61,189 $7.9M Reduce -5.1%
IAU iShares Gold Trust 0.25% 157,746 $7.8M Add +12.1%
WM Waste Management Inc. 0.24% 38,330 $7.7M Reduce -17.8%
XLF SS Financial Select Sector 0.24% 157,522 $7.6M Reduce -6.8%
FBND Fidelity Total Bond ETF 0.24% 169,326 $7.6M Add +4.0%
VIG Vanguard Dividend Apprec ETF 0.24% 38,730 $7.6M Add +0.1%
KNG FT Vest S&P 500 DVD Arst TRG 0.23% 148,301 $7.4M Reduce -0.8%
UNH Unitedhealth Group Inc. 0.23% 14,591 $7.4M Reduce -3.2%
VEA Vanguard Ftse Developed ETF 0.23% 154,190 $7.4M Add +2.7%
IJT iShares S&P Small-Cap 600 GR 0.23% 54,083 $7.3M Reduce -0.1%
PSFF Pacer Swan Sos Fund of Funds 0.23% 248,980 $7.3M Add +61.9%
XHLF Bondbloxx BBG 6 MTH US Treas 0.22% 142,103 $7.1M Reduce -9.4%
LMBS First Trust Low Duration Opp 0.22% 144,196 $7.0M Reduce -16.3%
VCSH Vanguard S/T Corp. Bond ETF 0.22% 89,948 $7.0M Reduce -27.9%
FCUS Pinnacle Focused Opport ETF 0.21% 237,815 $6.8M Add +41.2%
FHLC Fidelity MSCI Health Care 0.21% 102,311 $6.7M Add +1.0%
FPE FT-Preferred Secur & Inc. ETF 0.21% 376,037 $6.7M Add +4.4%
DTE DTE Energy Company 0.21% 55,001 $6.6M Reduce -0.7%
HDV iShares Core High Dividend E 0.21% 59,002 $6.6M Add +1.1%
FTCS First Trust Capital Strength 0.21% 75,142 $6.6M Reduce -14.4%
PLTR Palantir Technologies Inc. Class A 0.20% 85,659 $6.5M Add +27.1%
SGOV iShares 0-3 Month Treasury B 0.20% 62,880 $6.3M Reduce -11.1%
FTGS First Trust Grwth Strgth ETF 0.20% 198,903 $6.2M Add +17.5%
XLU St Sr Utl SL SE SPDR ETF-Usd 0.20% 82,459 $6.2M Reduce -10.9%
SMH Vaneck Semiconductor ETF 0.19% 25,553 $6.2M Add +2.8%
SPIB SS SPDR P Int C Corp. ETF 0.19% 186,464 $6.1M Add +4.4%
VO Vngrd Mrngstr MD-Cap ETF-Usd 0.19% 22,861 $6.0M Reduce -1.4%
USHY iShares Broad Usd High Yield 0.19% 163,973 $6.0M Add +2.6%
USIG iShares Broad Usd Investment 0.19% 119,635 $6.0M Add +2.1%

Show all 1,156 holdings

Options reported separately and not counted above: OLED puts ($97K), INTC calls ($52K), XRX puts ($5K), UBS calls ($250).

Other holdings (2): bonds, preferreds, convertibles and warrants · $174K (not counted above)
SecurityClassShares / PrincipalValueChange
PROSPECT CAPITAL CORP (PSEC 6.375 03/01/25) NOTE 6.375% 3/0 · principal 175,000$173KNo change
SQFTW Presidio Property TRST -CW27 *W EXP 01/24/202 10,218$357No change

Total filed on the 13F, all lines: $3.2B.

Portfolio Sells Q3 2024 → Q4 2024

FDEC FT Vest U.S. Equity Buffer E Reduce -86.7% 0.08% −0.49
JANW Alianzim US Eq BFR20 Jan-Usd Reduce -86.7% 0.04% −0.22
SPY SS SPDR S&P 500 ETF Trust-US Reduce -15.0% 1.71% −0.21
FIXD First Trust Smith Opportunis Reduce -33.0% 0.31% −0.17
MSFT Microsoft Corp. Reduce -6.2% 1.98% −0.12
FEZ State Street SPDR Euro Stoxx Sold out 0.00% −0.12
JEPI JPMorgan Equity Premium Inco Reduce -21.7% 0.39% −0.11
IWM iShares Russell 2000 ETF Reduce -39.3% 0.18% −0.11
LLY Eli Lilly & Co. Reduce -7.4% 0.42% −0.09
LGOV First TR Long Duration O-ETF Reduce -58.8% 0.06% −0.09
VCSH Vanguard S/T Corp. Bond ETF Reduce -27.9% 0.22% −0.08
DGRO iShares Core Dividend Growth Reduce -6.9% 1.16% −0.08
GLD SPDR Gold Shares Reduce -16.6% 0.47% −0.08
TLT iShares 20+ Year Treasury BD Reduce -31.1% 0.13% −0.08
COWZ Pacer US Cash Cows 100 ETF Reduce -7.4% 0.96% −0.08
AJG Arthur J Gallagher & Co. Reduce -84.1% 0.01% −0.07
FLOT iShares Floating Rate Bond E Reduce -17.3% 0.39% −0.07
CASY Casey's General Stores Inc. Sold out 0.00% −0.07
PH Parker Hannifin Corp. Reduce -77.3% 0.02% −0.07
LQD Ishr Ibx Usd Invgd CB ETF-Ui Reduce -3.3% 1.03% −0.07
FJUL FT Vest US Equity Buffer ETF Sold out 0.00% −0.07
ARM Arm Holdings PLC-ADR Reduce -86.8% 0.01% −0.07
VRSN Verisign Inc. Sold out 0.00% −0.06
VZ Verizon Communications Inc. Reduce -11.9% 0.26% −0.06
ABBV Abbvie Inc. Reduce -2.1% 0.60% −0.06
XLI SS Industrial Select Sector Reduce -33.8% 0.12% −0.06
XYLD Global X S&P 500 Cove Call E Reduce -82.3% 0.01% −0.06
QYLD Global X Nasd 100 Cov Call Reduce -43.5% 0.08% −0.06
GIS General Mills Inc. Reduce -46.7% 0.05% −0.06
BIV Vanguard Intermediate-Term B Reduce -13.3% 0.31% −0.06
ICSH iShares Ultra Short Duration Reduce -45.8% 0.07% −0.06
XLG Invesco S&P 500 Top 50 ETF Reduce -34.1% 0.13% −0.05
PG The Procter & Gamble Co. Reduce -14.2% 0.31% −0.05
IBDP iShares Ibonds Dec 2024 Term Sold out 0.00% −0.05
WM Waste Management Inc. Reduce -17.8% 0.24% −0.05
NEE Nextera Energy Inc. Reduce -4.3% 0.26% −0.05
IOO iShares Global 100 ETF Reduce -13.8% 0.45% −0.05
SMCI Super Micro Computer Inc. Sold out 0.00% −0.05
IGLB iShares 10+ Year Inv GR Corp. Reduce -3.1% 0.54% −0.05
TDVG T Rowe Price Dividend Growth Reduce -77.5% 0.01% −0.05
SYY Sysco Corp. Reduce -71.7% 0.02% −0.05
SPOT Spotify Technology SA Reduce -81.5% 0.01% −0.05
BLV Vanguard Long-Term Bond ETF Reduce -52.4% 0.04% −0.04
BRK.B Berkshire Hathaway Inc. Class B Reduce -5.9% 0.83% −0.04
CLX Clorox Company Reduce -45.4% 0.06% −0.04
DAL Delta Air Lines Inc. Reduce -61.1% 0.04% −0.04
CG The Carlyle Group Inc. Sold out 0.00% −0.04
PULS Pgim Ultra Short Bond ETF Reduce -25.0% 0.14% −0.04
GJAN FT Vest US Equity Moderate B Sold out 0.00% −0.04
LMBS First Trust Low Duration Opp Reduce -16.3% 0.22% −0.04

Portfolio Buys Q3 2024 → Q4 2024

NVDA Nvidia Corp. Add +0.6% 2.88% +0.35
TSLA Tesla Inc. Add +8.9% 0.56% +0.24
DUKQ Ocean Park Domestic ETF New 0.17% +0.17
MSTB Lha Market State Tactical New 0.17% +0.17
SCHG Schwab US Large-Cap Growth Add +11.4% 0.83% +0.15
PLTR Palantir Technologies Inc. Class A Add +27.1% 0.20% +0.13
AVGO Broadcom Inc. Add +1.3% 0.44% +0.13
SDVY First Trust Smid Cap Rising Add +22.7% 0.59% +0.11
PSFF Pacer Swan Sos Fund of Funds Add +61.9% 0.23% +0.09
MGOV FT Intermed Govt Oppt ETF Add +235.1% 0.13% +0.09
ALAB Astera Labs Inc. New 0.09% +0.09
GOOGL Alphabet Inc. Class A Add +1.3% 0.49% +0.08
BUFR FT Vest Lad Buffervetf-Usd I Add +13.8% 0.46% +0.07
RSST Return Stacked US SM FTR ETF Add +56.7% 0.18% +0.07
ETF SER SOLUTIONS New 0.07% +0.07
RSBT RTRN STCK BNDS & MNG Futures New 0.07% +0.07
CGBL Cap Group Core Balanced New 0.07% +0.07
FCUS Pinnacle Focused Opport ETF Add +41.2% 0.21% +0.06
AGGH Simplify Aggregate Bond ETF Add +1046.9% 0.07% +0.06
CRWD CrowdStrike Holdings Inc. Class A Add +33.7% 0.15% +0.06
HD Home Depot Inc. Add +17.0% 0.46% +0.06
CRM Salesforce Inc. Add +2.5% 0.27% +0.06
TMSL T.rowe PRC Small-Mid Cap ETF New 0.06% +0.06
META Meta Platforms Inc. Class A Add +5.4% 0.60% +0.06
RDDT Reddit Inc. Class A New 0.05% +0.05
FDIS Fidelity MSCI Cons Discr Ind Add +139.8% 0.08% +0.05
UOCT Innovator U.S. Equity Ultra New 0.05% +0.05
DJD Invesco Dow Jones Industrial New 0.05% +0.05
SHY iShares 1-3 Year Treasury Bo Add +7.4% 0.60% +0.05
IMCG iShares Morningstar Mid-Cap Add +11.1% 0.31% +0.05
BALT Inn Defined Wealth Shield Add +28.3% 0.19% +0.05
HYGH iShares Int Rate Hedg HY ETF New 0.05% +0.05
RSPR Invesco S&P 500 Equal Weight New 0.04% +0.04
NFLX Netflix Inc. Add +7.4% 0.16% +0.04
UTES Virtus Reaves Utilities ETF New 0.04% +0.04
FTLS First Trust Long/Short Eqty Add +38.4% 0.13% +0.04
BUFD FT VST Lad Deep Buf ETF-Usdi Add +110.2% 0.08% +0.04
ZALT Innovator US Eq 10 Buffer Add +324.5% 0.05% +0.04
XLC SS Comm Select Sector SPDR Add +59.0% 0.09% +0.04
SPYV SS SPDR P S&P 500 Value ETF Add +87.8% 0.08% +0.04
FTXN First Trust Nasdaq Oil & Gas New 0.04% +0.04
IDMO Invesco S&P International DE Add +258.9% 0.05% +0.04
FV First Trust DW Focus 5 Fund Add +11.6% 0.26% +0.04
FTGS First Trust Grwth Strgth ETF Add +17.5% 0.20% +0.03
VRT Vertiv Holdings Co. Class A Add +36.4% 0.09% +0.03
FLQM Franklin U.S. Mid Cap Multif Add +252.2% 0.05% +0.03
PANW Palo Alto Networks Inc. Add +17.6% 0.15% +0.03
IJH iShares Core S&P Midcap ETF Add +2.0% 0.74% +0.03
CVX Chevron Corp. Add +12.9% 0.26% +0.03
IAU iShares Gold Trust Add +12.1% 0.25% +0.03

Options Activity Q3 2024 → Q4 2024

QQQ Invesco QQQ Trust Series 1 put Sold out 115,600 $291Kbefore exit
OLED Universal Display Corp. put New 39,500 $97K
INTC Intel Corp. call New 34,800 $52K
IDCC Interdigital Inc. put Sold out 11,700 $7Kbefore exit
XRX Xerox Holdings Corp. put Add +103.1% 116,400 $5K
ECPG Encore Capital Group Inc. put Sold out 10,200 $3Kbefore exit
BFH Bread Financial Holdings Inc. put Sold out 14,500 $3Kbefore exit

Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.

All Filings

QuarterPositions13F Reported ValueTop Holdings
Q2 2026 1,391$4.0BIVV, AAPL, NVDA, QQQ, AMZN
Q1 2026 1,298$3.6BIVV, AAPL, NVDA, AMZN, QQQ
Q4 2025 1,287$3.6BIVV, AAPL, NVDA, AMZN, QQQ
Q3 2025 1,281$3.5BIVV, AAPL, NVDA, AMZN, QQQ
Q2 2025 1,236$3.3BIVV, AAPL, NVDA, AMZN, QQQ
Q1 2025 1,189$3.1BIVV, AAPL, NVDA, AMZN, QQQ
Q4 2024 1,156$3.2BIVV, AAPL, NVDA, AMZN, QQQ
Q3 2024 1,203$3.3BIVV, AAPL, NVDA, QQQ, MSFT
Q2 2024 1,176$3.2BIVV, AAPL, NVDA, QQQ, MSFT
Q1 2024 1,212$3.2BIVV, AAPL, QQQ, MSFT, AMZN