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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
COV
526
DELISTED
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
$15K 0.01%
242
-30
-11% -$1.83K
ATAXZ
527
DELISTED
AMERICA FIRST TAX EXEMT INV LP
ATAXZ
$15K 0.01%
2,129
-462
-18% -$3.25K
ALL icon
528
Allstate
ALL
$67.5B
$14K 0.01%
285
– –
BIIB icon
529
Biogen
BIIB
$30.7B
$14K 0.01%
60
– –
CNI icon
530
Canadian National Railway
CNI
$76.6B
$14K 0.01%
280
– –
CVS icon
531
CVS Health
CVS
$122B
$14K 0.01%
240
– –
DBEM icon
532
Xtrackers MSCI Emerging Markets Hedged Equity ETF
DBEM
$108M
$14K 0.01%
662
+12
+2% +$250
FRA icon
533
BlackRock Floating Rate Income Strategies Fund
FRA
$385M
$14K 0.01%
914
– –
GCC icon
534
WisdomTree Enhanced Commodity Strategy Fund
GCC
$274M
$14K 0.01%
535
-26,523
-98% -$701K
HIO
535
Western Asset High Income Opportunity Fund
HIO
$340M
$14K 0.01%
2,400
– –
HIX
536
Western Asset High Income Fund II
HIX
$355M
$14K 0.01%
1,500
– –
JAZZ icon
537
Jazz Pharmaceuticals
JAZZ
$16.7B
$14K 0.01%
+150
New +$12.1K
JPC icon
538
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$14K 0.01%
1,563
-1,224
-44% -$11K
KRE icon
539
State Street SPDR S&P Regional Banking ETF
KRE
$4.64B
$14K 0.01%
385
-11
-3% -$397
MFC icon
540
Manulife Financial
MFC
$73.5B
$14K 0.01%
860
+366
+74% +$6.25K
PRF icon
541
Invesco FTSE RAFI US 1000 ETF
PRF
$10B
$14K 0.01%
+905
New +$13.7K
SLB icon
542
SLB Ltd
SLB
$75B
$14K 0.01%
+159
New +$13.1K
SLF icon
543
Sun Life Financial
SLF
$45.4B
$14K 0.01%
422
-3
-0.7% -$95
TMV icon
544
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$188M
$14K 0.01%
80
– –
TS icon
545
Tenaris
TS
$26.8B
$14K 0.01%
301
-80
-21% -$3.63K
VLO icon
546
Valero Energy
VLO
$85.9B
$14K 0.01%
416
+1
+0.2% +$35
RESP
547
DELISTED
WisdomTree U.S. ESG Fund
RESP
$14K 0.01%
+702
New +$14.1K
POT
548
DELISTED
Potash Corp Of Saskatchewan
POT
$14K 0.01%
+440
New +$14.6K
CKH
549
DELISTED
Seacor Holdings Inc.
CKH
$14K 0.01%
165
– –
GG
550
DELISTED
Goldcorp Inc
GG
$14K 0.01%
+545
New +$15K
20 21
22
23 24

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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.