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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
-0.56%
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
$331M
AUM Growth
+$50.1M
Cap. Flow
+$53.9M
Cap. Flow %
16.29%
Top 10 Hldgs %
19.29%
Holding
1,024
New
97
Increased
293
Reduced
238
Closed
59

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$11M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$4.66M
3
AAXJ icon
iShares MSCI All Country Asia ex Japan ETF
AAXJ
+$3.68M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$3.21M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.66M

Top Sells

Rank Stock Value
1
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$5.25M
2
VNQ icon
Vanguard Real Estate ETF
VNQ
+$3.19M
3
APO icon
Apollo Global Management
APO
+$2.15M
4
WMT icon
Walmart Inc
WMT
+$2.08M
5
FXU icon
First Trust Utilities AlphaDEX Fund
FXU
+$1.57M

Sector Composition

Rank Sector Weight
1 Energy 6.25%
2 Healthcare 5.62%
3 Financials 5.54%
4 Consumer Staples 5.35%
5 Consumer Discretionary 4.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SHY icon
276
iShares 1-3 Year Treasury Bond ETF
SHY
$25.1B
$129K 0.04%
1,528
-16
-1% -$1.35K
DIS icon
277
Walt Disney
DIS
$181B
$128K 0.04%
1,436
-498
-26% -$43.9K
VBK icon
278
Vanguard Morningstar Small-Cap Growth ETF
VBK
$24.5B
$128K 0.04%
1,061
+209
+25% +$25.9K
MS icon
279
Morgan Stanley
MS
$340B
$125K 0.04%
3,618
– –
MRK icon
280
Merck
MRK
$318B
$121K 0.04%
2,139
-288
-12% -$16.2K
PAA icon
281
Plains All American Pipeline
PAA
$16.1B
$120K 0.04%
2,035
-5
-0.2% -$293
META icon
282
Meta Platforms (Facebook)
META
$1.51T
$118K 0.04%
1,496
+316
+27% +$23.2K
VAW icon
283
Vanguard Materials ETF
VAW
$3.13B
$118K 0.04%
1,073
+679
+172% +$76K
IEF icon
284
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
$116K 0.04%
1,121
+175
+18% +$18.1K
ILCB icon
285
iShares Morningstar US Equity ETF
ILCB
$1.32B
$116K 0.04%
4,040
– –
HLX icon
286
Helix Energy Solutions
HLX
$1.41B
$115K 0.03%
5,205
-3,765
-42% -$96.1K
SIRI icon
287
SiriusXM
SIRI
$10.1B
$114K 0.03%
3,260
+460
+16% +$16.1K
SPLV icon
288
Invesco S&P 500 Low Volatility ETF
SPLV
$7.21B
$114K 0.03%
3,255
-2,050
-39% -$71.8K
MA icon
289
Mastercard
MA
$493B
$113K 0.03%
1,525
– –
UAA icon
290
Under Armour
UAA
$2.6B
$113K 0.03%
3,262
-1,706
-34% -$56.9K
VGIT icon
291
Vanguard Intermediate-Term Treasury ETF
VGIT
$41.7B
$111K 0.03%
1,736
-170
-9% -$10.9K
WMB icon
292
Williams Companies
WMB
$86.1B
$111K 0.03%
2,000
– –
SRC
293
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
$111K 0.03%
2,250
– –
IBB icon
294
iShares Biotechnology ETF
IBB
$9.77B
$109K 0.03%
1,200
-1,653
-58% -$145K
FRN
295
DELISTED
Invesco Frontier Markets ETF
FRN
$107K 0.03%
+6,441
New +$111K
RDS.A
296
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$106K 0.03%
1,484
-59
-4% -$4.42K
PJP icon
297
Invesco Pharmaceuticals ETF
PJP
$479M
$105K 0.03%
1,657
– –
HYG icon
298
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.6B
$104K 0.03%
1,132
-2,084
-65% -$195K
FTSL icon
299
First Trust Senior Loan Fund ETF
FTSL
$2.33B
$103K 0.03%
2,101
+1
+0% +$49
PIV
300
DELISTED
PWSHS S&P 500 HIGH QTY PORTF S&P HIGH QTY RKGS INDEX
PIV
$103K 0.03%
4,775
+943
+25% +$20.3K
10 11
12
13 14

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PAIM
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CC
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VCM
Valiant Capital Management San Francisco, California $1.74B AUM 64.05% 1-Year Est. Return
ESBC
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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
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OMC
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Regal Investment Advisors's Q3 2014 Portfolio in Review

As of Q3 2014, Regal Investment Advisors held 1,024 positions worth $331M, up 18% from $281M the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Regal Investment Advisors deployed $53.9M of net new capital in Q3 2014, opening 97 new positions and adding to 293 existing holdings. Its largest new stake was iShares MSCI All Country Asia ex Japan ETF: 56,951 shares worth $3.49M.

By sector, the portfolio is most concentrated in Energy at 6.3% of assets, down from 6.7% a quarter earlier, followed by Healthcare and Financials.

On the sell side, the largest reduction was State Street SPDR Bloomberg High Yield Bond ETF, an estimated $5.25M trimmed.

  • Regal Investment Advisors's largest Q3 2014 buy was iShares MSCI All Country Asia ex Japan ETF: 56,951 shares worth $3.49M.
  • Regal Investment Advisors added most to iShares iBoxx $ Investment Grade Corporate Bond ETF in Q3 2014, an estimated $11M increase.
  • Regal Investment Advisors's biggest Q3 2014 reduction was State Street SPDR Bloomberg High Yield Bond ETF, cutting an estimated $5.25M.
  • Regal Investment Advisors fully exited Nuveen Michigan Quality Municipal Income Fund in Q3 2014, selling an estimated $261K.
  • Regal Investment Advisors's ten largest holdings make up 19% of its $331M portfolio in Q3 2014.
  • Regal Investment Advisors opened 97 new positions and closed 59 in Q3 2014.
  • Regal Investment Advisors's portfolio value rose 18% quarter-over-quarter to $331M.

Based on Regal Investment Advisors's 13F filing for Q3 2014, filed 14 Nov 2014.