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RIA

Regal Investment Advisors Portfolio holdings

AUM $1.73B
1-Year Est. Return 17.74%
This Fund
S&P 500
This Quarter Est. Return
+5.17%
1 Year Est. Return
+17.74%
3 Year Est. Return
+53.86%
5 Year Est. Return
+57.43%
10 Year Est. Return
+193.86%
AUM
$171M
AUM Growth
-$9.92M
Cap. Flow
-$18.2M
Cap. Flow %
-10.63%
Top 10 Hldgs %
14.72%
Holding
996
New
72
Increased
239
Reduced
249
Closed
90

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$2.45M
2
SJNK icon
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
+$1.92M
3
ISHG icon
iShares 1-3 Year International Treasury Bond ETF
ISHG
+$1.9M
4
BSV icon
Vanguard Short-Term Bond ETF
BSV
+$1.83M
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$1.61M

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$5.06M
2
SSO icon
ProShares Ultra S&P500
SSO
+$4.82M
3
UWM icon
ProShares Ultra Russell2000
UWM
+$4.56M
4
MVV icon
ProShares Ultra MidCap400
MVV
+$4.46M
5
DDM icon
ProShares Ultra Dow30
DDM
+$4.35M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 7.46%
2 Industrials 5.12%
3 Energy 5.1%
4 Consumer Staples 5.09%
5 Healthcare 4.49%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DE icon
226
Deere & Co
DE
$168B
$111K 0.06%
1,365
+1
+0.1% +$83
IJT icon
227
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.42B
$109K 0.06%
2,008
+4
+0.2% +$209
EIM
228
Eaton Vance Municipal Bond Fund
EIM
$499M
$108K 0.06%
9,358
+890
+11% +$9.96K
VV icon
229
Vanguard Morningstar Large-Cap ETF
VV
$54.3B
$108K 0.06%
1,390
– –
JPM icon
230
JPMorgan Chase
JPM
$950B
$106K 0.06%
2,054
-1,126
-35% -$60.4K
IWP icon
231
iShares Russell Mid-Cap Growth ETF
IWP
$20.7B
$105K 0.06%
2,684
-1,652
-38% -$63K
PM icon
232
Philip Morris
PM
$295B
$105K 0.06%
1,216
-195
-14% -$17K
VDE icon
233
Vanguard Energy ETF
VDE
$9.74B
$105K 0.06%
881
+258
+41% +$30.5K
IJJ icon
234
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.97B
$104K 0.06%
1,918
+28
+1% +$1.49K
MS icon
235
Morgan Stanley
MS
$340B
$102K 0.06%
3,793
+175
+5% +$4.7K
RDS.A
236
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$101K 0.06%
1,642
+168
+11% +$10.3K
VBK icon
237
Vanguard Morningstar Small-Cap Growth ETF
VBK
$24.5B
$99K 0.06%
862
-735
-46% -$81.2K
AEE icon
238
Ameren
AEE
$30.1B
$98K 0.06%
2,803
-100
-3% -$3.46K
RDS.B
239
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
$96K 0.06%
1,400
+150
+12% +$10.2K
CEQP
240
DELISTED
Crestwood Equity Partners LP
CEQP
$94K 0.05%
680
-70
-9% -$10.2K
BLW icon
241
BlackRock Limited Duration Income Trust
BLW
$493M
$92K 0.05%
5,436
-190
-3% -$3.21K
LNT icon
242
Alliant Energy
LNT
$18B
$92K 0.05%
3,710
-374
-9% -$9.56K
ORCL icon
243
Oracle
ORCL
$423B
$91K 0.05%
2,750
-248
-8% -$8.05K
VGIT icon
244
Vanguard Intermediate-Term Treasury ETF
VGIT
$41.7B
$91K 0.05%
1,434
+185
+15% +$11.7K
BOND icon
245
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.47B
$89K 0.05%
844
+400
+90% +$42K
CHY
246
Calamos Convertible and High Income Fund
CHY
$1.06B
$88K 0.05%
7,041
+67
+1% +$828
FDN icon
247
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.45B
$88K 0.05%
1,634
– –
RWO icon
248
State Street SPDR Dow Jones Global Real Estate ETF
RWO
$1.3B
$88K 0.05%
2,071
-646
-24% -$27.3K
MGC icon
249
Vanguard Morningstar Mega Cap ETF
MGC
$10.4B
$87K 0.05%
1,521
+235
+18% +$13.5K
AIA icon
250
iShares Asia 50 ETF
AIA
$4.73B
$86K 0.05%
1,848
-589
-24% -$26.3K
8 9
10
11 12

Similar funds

PAIM
Punch & Associates Investment Management Edina, Minnesota $1.73B AUM 27.65% 1-Year Est. Return
CC
Commodore Capital New York $1.73B AUM 298.96% 1-Year Est. Return
VCM
Valiant Capital Management San Francisco, California $1.74B AUM 64.05% 1-Year Est. Return
ESBC
E.S. Barr & Co Lexington, Kentucky $1.72B AUM 12.69% 1-Year Est. Return
SFI
Siemens Fonds Invest Munich, Germany $1.75B AUM 26.24% 1-Year Est. Return
DF
DNCA Finance Paris, France $1.75B AUM 38.18% 1-Year Est. Return
WJA
Willis Johnson & Associates Houston, Texas $1.72B AUM 16.93% 1-Year Est. Return
OMC
Oasis Management Company Grand Cayman, Cayman Islands $1.72B AUM 32.1% 1-Year Est. Return

Regal Investment Advisors's Q3 2013 Portfolio in Review

As of Q3 2013, Regal Investment Advisors held 996 positions worth $171M, down 5.5% from $181M the previous quarter. Its ten largest holdings account for 15% of the portfolio.

Regal Investment Advisors withdrew a net $18.2M in Q3 2013, closing 90 positions and reducing 249 holdings. Its most notable exit was ProShares Ultra Dow30, an estimated $4.35M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 7.5% of assets, up from 6.5% a quarter earlier, followed by Industrials and Energy.

Against the trend, Regal Investment Advisors opened a new position in State Street SPDR Bloomberg Short Term High Yield Bond ETF worth $1.92M.

  • Regal Investment Advisors's largest Q3 2013 buy was State Street SPDR Bloomberg Short Term High Yield Bond ETF: 62,957 shares worth $1.92M.
  • Regal Investment Advisors added most to Vanguard Short-Term Inflation-Protected Securities Index Fund in Q3 2013, an estimated $2.45M increase.
  • Regal Investment Advisors's biggest Q3 2013 reduction was iShares Russell 2000 ETF, cutting an estimated $5.06M.
  • Regal Investment Advisors fully exited ProShares Ultra Dow30 in Q3 2013, selling an estimated $4.35M.
  • Regal Investment Advisors's ten largest holdings make up 15% of its $171M portfolio in Q3 2013.
  • Regal Investment Advisors opened 72 new positions and closed 90 in Q3 2013.
  • Regal Investment Advisors's portfolio value fell 5.5% quarter-over-quarter to $171M.

Based on Regal Investment Advisors's 13F filing for Q3 2013, filed 12 Nov 2013.