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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
BDX icon
501
Becton Dickinson
BDX
$48.2B
$17K 0.01%
173
– –
DNP icon
502
DNP Select Income Fund
DNP
$4.09B
$17K 0.01%
1,815
– –
EOG icon
503
EOG Resources
EOG
$70.7B
$17K 0.01%
202
– –
EWU icon
504
iShares MSCI United Kingdom ETF
EWU
$4.16B
$17K 0.01%
437
+3
+0.7% +$114
FT
505
Franklin Universal Trust
FT
$197M
$17K 0.01%
2,500
– –
MPC icon
506
Marathon Petroleum
MPC
$83.7B
$17K 0.01%
538
-2
-0.4% -$70
SHY icon
507
iShares 1-3 Year Treasury Bond ETF
SHY
$25.1B
$17K 0.01%
199
– –
CPLA
508
DELISTED
Capella Education Company
CPLA
$17K 0.01%
307
-250
-45% -$12.9K
VIIX
509
DELISTED
VelocityShares VIX Short Term ETN
VIIX
$17K 0.01%
9
-4
-31% -$8.46K
STR
510
DELISTED
QUESTAR CORP
STR
$17K 0.01%
760
+130
+21% +$3K
MW
511
DELISTED
THE MENS WAREHOUSE INC
MW
$17K 0.01%
490
+190
+63% +$7.2K
CCL icon
512
Carnival Corporation Ltd
CCL
$39.7B
$16K 0.01%
500
– –
CIEN icon
513
Ciena
CIEN
$58.4B
$16K 0.01%
650
– –
HSY icon
514
Hershey
HSY
$36.6B
$16K 0.01%
173
-200
-54% -$18.6K
SH icon
515
ProShares Short S&P500
SH
$897M
$16K 0.01%
72
– –
PDCO
516
DELISTED
Patterson Companies, Inc.
PDCO
$16K 0.01%
400
-350
-47% -$14.2K
BRCM
517
DELISTED
BROADCOM CORP CL-A
BRCM
$16K 0.01%
628
-500
-44% -$14.1K
NZT
518
DELISTED
TELECOM CORP NEW ZEALAND ADS (EACH REPRESENTING 5 ORD SHS)
NZT
$16K 0.01%
1,615
– –
CHL
519
DELISTED
China Mobile Limited
CHL
$16K 0.01%
+289
New +$15.6K
CNP icon
520
CenterPoint Energy
CNP
$26.8B
$15K 0.01%
617
-220
-26% -$5.24K
CWT icon
521
California Water Service
CWT
$3.12B
$15K 0.01%
760
– –
KMT icon
522
Kennametal
KMT
$2.52B
$15K 0.01%
335
+75
+29% +$3.26K
OKE icon
523
Oneok
OKE
$54.5B
$15K 0.01%
320
– –
PBR icon
524
Petrobras
PBR
$116B
$15K 0.01%
+980
New +$14K
TE
525
DELISTED
TECO ENERGY INC
TE
$15K 0.01%
885
– –
19 20
21
22 23

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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
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DF
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WJA
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OMC
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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.