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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
IHI icon
401
iShares US Medical Devices ETF
IHI
$3.38B
$29K 0.02%
2,070
– –
OTTR icon
402
Otter Tail
OTTR
$3.94B
$29K 0.02%
1,066
– –
ANDE icon
403
Andersons Inc
ANDE
$2.22B
$28K 0.02%
600
– –
ES icon
404
Eversource Energy
ES
$27.2B
$28K 0.02%
683
+420
+160% +$17.8K
IEMG icon
405
iShares Core MSCI Emerging Markets ETF
IEMG
$156B
$28K 0.02%
577
+385
+201% +$18.2K
KLIC icon
406
Kulicke & Soffa
KLIC
$4.78B
$28K 0.02%
+2,459
New +$28K
MKC icon
407
McCormick & Company Non-Voting
MKC
$14.2B
$28K 0.02%
870
+80
+10% +$2.81K
NCV
408
Virtus Convertible & Income Fund
NCV
$390M
$28K 0.02%
725
– –
NVO
409
Novo Nordisk
NVO
$209B
$28K 0.02%
+1,670
New +$28.1K
RDY icon
410
Dr. Reddy's Laboratories
RDY
$10.2B
$28K 0.02%
+3,680
New +$26.8K
VMI icon
411
Valmont Industries
VMI
$9.53B
$28K 0.02%
200
– –
ZAGG
412
DELISTED
ZAGG Inc Common Stock (Delaware)
ZAGG
$28K 0.02%
6,307
-414
-6% -$2K
PAY
413
DELISTED
Verifone Systems Inc
PAY
$28K 0.02%
1,230
+180
+17% +$3.59K
MON
414
DELISTED
Monsanto Co
MON
$28K 0.02%
+264
New +$26.5K
HELE icon
415
Helen of Troy
HELE
$693M
$27K 0.02%
+620
New +$26.1K
MVV icon
416
ProShares Ultra MidCap400
MVV
$163M
$27K 0.02%
1,500
-254,148
-99% -$4.46M
SLV icon
417
iShares Silver Trust
SLV
$30.7B
$27K 0.02%
1,295
-95
-7% -$1.96K
VPL icon
418
Vanguard FTSE Pacific ETF
VPL
$8.43B
$27K 0.02%
441
– –
DVYE icon
419
iShares Emerging Markets Dividend ETF
DVYE
$1.22B
$26K 0.02%
520
+95
+22% +$4.64K
ILCB icon
420
iShares Morningstar US Equity ETF
ILCB
$1.32B
$26K 0.02%
1,040
– –
IYY icon
421
iShares Dow Jones US ETF
IYY
$3.06B
$26K 0.02%
600
– –
NSH
422
DELISTED
NuStar GP Holdings LLC
NSH
$26K 0.02%
1,169
+150
+15% +$3.62K
WFM
423
DELISTED
Whole Foods Market Inc
WFM
$26K 0.02%
450
– –
AOA icon
424
iShares Core 80/20 Aggressive Allocation ETF
AOA
$3.28B
$25K 0.01%
600
– –
AOM icon
425
iShares Core Moderate Allocation ETF
AOM
$1.78B
$25K 0.01%
759
-1,381
-65% -$45.5K
15 16
17
18 19

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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
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.