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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
+3%
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
$352M
AUM Growth
-$11.3M
Cap. Flow
-$20M
Cap. Flow %
-5.69%
Top 10 Hldgs %
17.53%
Holding
267
New
23
Increased
122
Reduced
99
Closed
8

Top Buys

Rank Stock Value
1
NFLX icon
Netflix
NFLX
+$1.32M
2
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$956K
3
GLD icon
SPDR Gold Trust
GLD
+$800K
4
DBC icon
Invesco DB Commodity Index Tracking Fund
DBC
+$711K
5
AAXJ icon
iShares MSCI All Country Asia ex Japan ETF
AAXJ
+$647K

Top Sells

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$4.29M
2
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$3.67M
3
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.48M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$2.57M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.26M

Sector Composition

Rank Sector Weight
1 Healthcare 8.51%
2 Consumer Discretionary 8.08%
3 Financials 5.18%
4 Industrials 4.65%
5 Communication Services 4.47%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FXO icon
226
First Trust Financials AlphaDEX Fund
FXO
$1.14B
$260K 0.07%
10,700
+1,100
+11% +$26.5K
SPHD icon
227
Invesco S&P 500 High Dividend Low Volatility ETF
SPHD
$3.38B
$254K 0.07%
+6,531
New +$256K
IWO icon
228
iShares Russell 2000 Growth ETF
IWO
$15.1B
$250K 0.07%
1,676
-384
-19% -$56K
CAT icon
229
Caterpillar
CAT
$387B
$248K 0.07%
+2,798
New +$229K
FMB icon
230
First Trust Managed Municipal ETF
FMB
$2.06B
$248K 0.07%
+4,601
New +$249K
SCHG icon
231
Schwab US Large-Cap Growth ETF
SCHG
$62.8B
$245K 0.07%
35,384
-9,200
-21% -$63.2K
CWB icon
232
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.69B
$240K 0.07%
5,183
-2,318
-31% -$106K
EMB icon
233
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.7B
$238K 0.07%
+2,029
New +$236K
IHI icon
234
iShares US Medical Devices ETF
IHI
$3.38B
$235K 0.07%
+9,690
New +$231K
AMLP icon
235
Alerian MLP ETF
AMLP
$12.8B
$234K 0.07%
3,683
-3,584
-49% -$227K
VHT icon
236
Vanguard Health Care ETF
VHT
$18.6B
$234K 0.07%
1,764
-183
-9% -$24.7K
BP icon
237
BP
BP
$107B
$233K 0.07%
7,886
-31
-0.4% -$899
DTE icon
238
DTE Energy
DTE
$29.1B
$231K 0.07%
2,903
-65
-2% -$5.3K
MMP
239
DELISTED
Magellan Midstream Partners, L.P.
MMP
– –
0
– –
BMY icon
240
Bristol-Myers Squibb
BMY
$132B
$224K 0.06%
4,146
-2,707
-40% -$174K
HBAN icon
241
Huntington Bancshares
HBAN
$35.5B
$222K 0.06%
22,499
+27
+0.1% +$257
GOOG icon
242
Alphabet (Google) Class C
GOOG
$4.32T
$219K 0.06%
+5,640
New +$214K
PSEC icon
243
Prospect Capital
PSEC
$1.17B
$219K 0.06%
27,045
+1,007
+4% +$8.31K
XLRE icon
244
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.59B
$215K 0.06%
+6,559
New +$220K
GSK icon
245
GSK
GSK
$106B
$213K 0.06%
+3,953
New +$217K
EPD icon
246
Enterprise Products Partners
EPD
$81.7B
– –
0
– –
RSX
247
DELISTED
VanEck Russia ETF
RSX
$203K 0.06%
+10,810
New +$198K
FSK icon
248
FS KKR Capital
FSK
$3.44B
$184K 0.05%
4,851
-558
-10% -$21.2K
VKQ icon
249
Invesco Municipal Trust
VKQ
$551M
$182K 0.05%
13,176
+1,382
+12% +$19.2K
MMU
250
Western Asset Managed Municipals Fund
MMU
$554M
$181K 0.05%
+11,925
New +$183K
7 8 9
10
11

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VCM
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ESBC
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SFI
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WJA
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OMC
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Regal Investment Advisors's Q3 2016 Portfolio in Review

As of Q3 2016, Regal Investment Advisors held 267 positions worth $352M, down 3.1% from $364M the previous quarter. Its ten largest holdings account for 18% of the portfolio.

Regal Investment Advisors withdrew a net $20M in Q3 2016, closing 8 positions and reducing 99 holdings. Its most notable exit was Western Refining Inc, an estimated $2.25M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 8.5% of assets, up from 8.4% a quarter earlier, followed by Consumer Discretionary and Financials.

Against the trend, Regal Investment Advisors opened a new position in Netflix worth $1.36M.

  • Regal Investment Advisors's largest Q3 2016 buy was Netflix: 138,310 shares worth $1.36M.
  • Regal Investment Advisors added most to iShares Core S&P Small-Cap ETF in Q3 2016, an estimated $956K increase.
  • Regal Investment Advisors's biggest Q3 2016 reduction was iShares 20+ Year Treasury Bond ETF, cutting an estimated $4.29M.
  • Regal Investment Advisors fully exited Western Refining Inc in Q3 2016, selling an estimated $2.25M.
  • Regal Investment Advisors's ten largest holdings make up 18% of its $352M portfolio in Q3 2016.
  • Regal Investment Advisors opened 23 new positions and closed 8 in Q3 2016.
  • Regal Investment Advisors's portfolio value fell 3.1% quarter-over-quarter to $352M.

Based on Regal Investment Advisors's 13F filing for Q3 2016, filed 27 Oct 2016.