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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
+6.85%
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
$556M
AUM Growth
+$43.5M
Cap. Flow
+$11M
Cap. Flow %
1.98%
Top 10 Hldgs %
20.2%
Holding
361
New
43
Increased
151
Reduced
131
Closed
17

Top Buys

Rank Stock Value
1
XOM icon
ExxonMobil
XOM
+$2.03M
2
PFE icon
Pfizer
PFE
+$1.96M
3
PJAN icon
Innovator US Equity Power Buffer ETF January
PJAN
+$1.23M
4
OUSA icon
ALPS O'Shares U.S. Quality Dividend ETF
OUSA
+$746K
5
YYY icon
Amplify CEF High Income ETF
YYY
+$658K

Top Sells

Rank Stock Value
1
CAH icon
Cardinal Health
CAH
+$1.74M
2
PARA
Paramount Global Class B
PARA
+$1.52M
3
BOCT icon
Innovator US Equity Buffer ETF October
BOCT
+$1.28M
4
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$886K
5
RSPU icon
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
+$634K

Sector Composition

Rank Sector Weight
1 Healthcare 8.38%
2 Technology 7.43%
3 Consumer Staples 6.43%
4 Industrials 4.63%
5 Utilities 3.71%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLV icon
326
iShares Silver Trust
SLV
$30.7B
$193K 0.03%
11,600
-700
-6% -$11.3K
PGAL
327
DELISTED
Global X MSCI Portugal ETF
PGAL
$185K 0.03%
16,654
+622
+4% +$6.66K
ETW
328
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
$1.06B
$182K 0.03%
17,505
– –
TV icon
329
Televisa
TV
$1.49B
$163K 0.03%
13,863
+199
+1% +$2.21K
TSLA icon
330
Tesla
TSLA
$1.3T
$157K 0.03%
5,640
-240
-4% -$5.21K
SIRI icon
331
SiriusXM
SIRI
$10.1B
$147K 0.03%
2,058
+1
+0% +$67
TSI
332
TCW Strategic Income Fund
TSI
$213M
$143K 0.03%
24,860
– –
NUV icon
333
Nuveen Municipal Value Fund
NUV
$1.91B
$138K 0.02%
12,915
-55
-0.4% -$578
NLY icon
334
Annaly Capital Management
NLY
$17.4B
$127K 0.02%
3,374
-198
-6% -$7.22K
EXTR icon
335
Extreme Networks
EXTR
$3.15B
$125K 0.02%
16,940
– –
FXN icon
336
First Trust Energy AlphaDEX Fund
FXN
$368M
$115K 0.02%
10,873
+6
+0.1% +$58
PSEC icon
337
Prospect Capital
PSEC
$1.17B
$107K 0.02%
16,683
-3,975
-19% -$25.9K
PSLV icon
338
Sprott Physical Silver Trust
PSLV
$13.2B
$101K 0.02%
15,500
-3,500
-18% -$22.2K
FIT
339
DELISTED
Fitbit, Inc. Class A common stock
FIT
$99K 0.02%
15,000
– –
GGB icon
340
Gerdau
GGB
$9.7B
$66K 0.01%
+17,010
New +$50.6K
ACB
341
Aurora Cannabis
ACB
$185M
$59K 0.01%
228
-48
-17% -$17.9K
AMRN
342
Amarin Corp
AMRN
$303M
$47K 0.01%
+109
New +$41.4K
LYG icon
343
Lloyds Banking Group
LYG
$91.3B
$38K 0.01%
+11,597
New +$35.1K
FSI icon
344
Flexible Solutions
FSI
$64.1M
$29K 0.01%
11,260
– –
ALGN icon
345
Align Technology
ALGN
$12.3B
– –
-1,124
Closed -$203K
BALL icon
346
CALL
Ball Corp
BALL
$16.8B
– –
-3,300
Closed -$240K
BALL icon
347
Ball Corp
BALL
$16.8B
– –
-1,448
Closed -$105K
BOCT icon
348
Innovator US Equity Buffer ETF October
BOCT
$289M
– –
-51,676
Closed -$1.28M
BUD icon
349
AB InBev
BUD
$165B
– –
-2,244
Closed -$214K
BYND icon
350
Beyond Meat
BYND
$277M
– –
-1,442
Closed -$214K
11 12 13
14
15

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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
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
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Regal Investment Advisors's Q4 2019 Portfolio in Review

As of Q4 2019, Regal Investment Advisors held 361 positions worth $556M, up 8.5% from $512M the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Regal Investment Advisors's Q4 2019 filing shows 43 new, 151 increased, 131 reduced and 17 closed positions. Its largest new stake was Innovator US Equity Power Buffer ETF January: 43,880 shares worth $1.25M. The largest sale was Cardinal Health, an estimated $1.74M.

By sector, the portfolio is most concentrated in Healthcare at 8.4% of assets, up from 8.1% a quarter earlier, followed by Technology and Consumer Staples.

  • Regal Investment Advisors's largest Q4 2019 buy was Innovator US Equity Power Buffer ETF January: 43,880 shares worth $1.25M.
  • Regal Investment Advisors added most to ExxonMobil in Q4 2019, an estimated $2.03M increase.
  • Regal Investment Advisors's biggest Q4 2019 reduction was Sysco, cutting an estimated $618K.
  • Regal Investment Advisors fully exited Cardinal Health in Q4 2019, selling an estimated $1.74M.
  • Regal Investment Advisors's ten largest holdings make up 20% of its $556M portfolio in Q4 2019.
  • Regal Investment Advisors opened 43 new positions and closed 17 in Q4 2019.
  • Regal Investment Advisors's portfolio value rose 8.5% quarter-over-quarter to $556M.

Based on Regal Investment Advisors's 13F filing for Q4 2019, filed 29 Jan 2020.