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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
OIL
576
DELISTED
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
$12K 0.01%
500
– –
BLV icon
577
Vanguard Long-Term Bond ETF
BLV
$5.75B
$11K 0.01%
131
– –
CCI icon
578
Crown Castle
CCI
$32.2B
$11K 0.01%
150
– –
CHI
579
Calamos Convertible Opportunities and Income Fund
CHI
$1.05B
$11K 0.01%
845
– –
DBA icon
580
Invesco DB Agriculture Fund
DBA
$1.23B
$11K 0.01%
425
+325
+325% +$8.13K
FTNT icon
581
Fortinet
FTNT
$117B
$11K 0.01%
2,650
– –
HE icon
582
Hawaiian Electric Industries
HE
$2.14B
$11K 0.01%
429
+5
+1% +$129
OTEX icon
583
Open Text
OTEX
$6.04B
$11K 0.01%
600
– –
PGX icon
584
Invesco Preferred ETF
PGX
$3.79B
$11K 0.01%
824
-1,193
-59% -$16.5K
PH icon
585
Parker-Hannifin
PH
$135B
$11K 0.01%
100
– –
POR icon
586
Portland General Electric
POR
$5.77B
$11K 0.01%
375
– –
SLM icon
587
SLM Corp
SLM
$5.15B
$11K 0.01%
1,226
+412
+51% +$3.6K
TRV icon
588
Travelers Companies
TRV
$80.2B
$11K 0.01%
132
+1
+0.8% +$83
UNH icon
589
UnitedHealth
UNH
$370B
$11K 0.01%
158
+1
+0.6% +$72
VTR icon
590
Ventas
VTR
$47.9B
$11K 0.01%
+160
New +$11.9K
VXUS icon
591
Vanguard Total International Stock ETF
VXUS
$160B
$11K 0.01%
215
– –
ENLK
592
DELISTED
EnLink Midstream Partners, LP
ENLK
$11K 0.01%
530
– –
KRFT
593
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
$11K 0.01%
205
-524
-72% -$28.7K
UN
594
DELISTED
Unilever NV New York Registry Shares
UN
$11K 0.01%
296
– –
PXMC
595
DELISTED
POWERSHARES FUNDAMENTAL PURE MID CORE PORTFOLIO
PXMC
$11K 0.01%
335
– –
DECK icon
596
Deckers Outdoor
DECK
$13.3B
$10K 0.01%
900
– –
DEW icon
597
WisdomTree Global High Dividend Fund
DEW
$155M
$10K 0.01%
225
– –
EPP icon
598
iShares MSCI Pacific ex Japan ETF
EPP
$2.28B
$10K 0.01%
200
– –
FFIV icon
599
F5
FFIV
$22.7B
$10K 0.01%
120
-30
-20% -$2.55K
HMC icon
600
Honda
HMC
$41.3B
$10K 0.01%
260
– –
22 23
24
25 26

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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.