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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
-0.56%
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
$331M
AUM Growth
+$50.1M
Cap. Flow
+$53.9M
Cap. Flow %
16.29%
Top 10 Hldgs %
19.29%
Holding
1,024
New
97
Increased
293
Reduced
238
Closed
59

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$11M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$4.66M
3
AAXJ icon
iShares MSCI All Country Asia ex Japan ETF
AAXJ
+$3.68M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$3.21M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.66M

Top Sells

Rank Stock Value
1
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$5.25M
2
VNQ icon
Vanguard Real Estate ETF
VNQ
+$3.19M
3
APO icon
Apollo Global Management
APO
+$2.15M
4
WMT icon
Walmart Inc
WMT
+$2.08M
5
FXU icon
First Trust Utilities AlphaDEX Fund
FXU
+$1.57M

Sector Composition

Rank Sector Weight
1 Energy 6.25%
2 Healthcare 5.62%
3 Financials 5.54%
4 Consumer Staples 5.35%
5 Consumer Discretionary 4.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PRU icon
576
Prudential Financial
PRU
$41.8B
$18K 0.01%
200
+100
+100% +$8.94K
RAMP icon
577
LiveRamp
RAMP
$2.3B
$18K 0.01%
1,100
+810
+279% +$15.2K
SLX icon
578
VanEck Steel ETF
SLX
$176M
$18K 0.01%
+395
New +$19.2K
TAL icon
579
TAL Education Group
TAL
$6.87B
$18K 0.01%
3,138
-504
-14% -$2.68K
TRN icon
580
Trinity Industries
TRN
$2.38B
$18K 0.01%
538
-665
-55% -$22K
VRA icon
581
Vera Bradley
VRA
$98.7M
$18K 0.01%
887
– –
MNDT
582
DELISTED
Mandiant, Inc. Common Stock
MNDT
$18K 0.01%
600
+300
+100% +$9.94K
SCTY
583
DELISTED
SolarCity Corporation
SCTY
$18K 0.01%
300
– –
CWT icon
584
California Water Service
CWT
$3.12B
$17K 0.01%
760
– –
DFE icon
585
WisdomTree Europe SmallCap Dividend Fund
DFE
$169M
$17K 0.01%
325
– –
FDS icon
586
Factset
FDS
$10.2B
$17K 0.01%
139
-658
-83% -$81.3K
IHG icon
587
InterContinental Hotels
IHG
$23.2B
$17K 0.01%
336
-60
-15% -$3.12K
LUV icon
588
Southwest Airlines
LUV
$23B
$17K 0.01%
513
-2,624
-84% -$80.1K
PPLT
589
abrdn Physical Platinum Shares ETF
PPLT
$2.02B
$17K 0.01%
1,350
+700
+108% +$9.76K
SJM icon
590
J.M. Smucker
SJM
$12.8B
$17K 0.01%
175
– –
SKM icon
591
SK Telecom
SKM
$13.2B
$17K 0.01%
343
-61
-15% -$2.89K
WTRG icon
592
Essential Utilities
WTRG
$11.4B
$17K 0.01%
706
+300
+74% +$7.33K
YELP icon
593
Yelp
YELP
$1.41B
$17K 0.01%
250
+150
+150% +$11.2K
MFD
594
DELISTED
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
MFD
$17K 0.01%
1,000
– –
RESP
595
DELISTED
WisdomTree U.S. ESG Fund
RESP
$17K 0.01%
711
+3
+0.4% +$71
AMBA icon
596
Ambarella
AMBA
$3.81B
$16K ﹤0.01%
+377
New +$12.5K
AWF
597
AllianceBernstein Global High Income Fund
AWF
$872M
$16K ﹤0.01%
1,187
+6
+0.5% +$83
DBA icon
598
Invesco DB Agriculture Fund
DBA
$1.23B
$16K ﹤0.01%
625
+70
+13% +$1.83K
LLY icon
599
Eli Lilly
LLY
$1.06T
$16K ﹤0.01%
248
-204
-45% -$12.9K
MED icon
600
Medifast
MED
$141M
$16K ﹤0.01%
500
– –
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
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Regal Investment Advisors's Q3 2014 Portfolio in Review

As of Q3 2014, Regal Investment Advisors held 1,024 positions worth $331M, up 18% from $281M the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Regal Investment Advisors deployed $53.9M of net new capital in Q3 2014, opening 97 new positions and adding to 293 existing holdings. Its largest new stake was iShares MSCI All Country Asia ex Japan ETF: 56,951 shares worth $3.49M.

By sector, the portfolio is most concentrated in Energy at 6.3% of assets, down from 6.7% a quarter earlier, followed by Healthcare and Financials.

On the sell side, the largest reduction was State Street SPDR Bloomberg High Yield Bond ETF, an estimated $5.25M trimmed.

  • Regal Investment Advisors's largest Q3 2014 buy was iShares MSCI All Country Asia ex Japan ETF: 56,951 shares worth $3.49M.
  • Regal Investment Advisors added most to iShares iBoxx $ Investment Grade Corporate Bond ETF in Q3 2014, an estimated $11M increase.
  • Regal Investment Advisors's biggest Q3 2014 reduction was State Street SPDR Bloomberg High Yield Bond ETF, cutting an estimated $5.25M.
  • Regal Investment Advisors fully exited Nuveen Michigan Quality Municipal Income Fund in Q3 2014, selling an estimated $261K.
  • Regal Investment Advisors's ten largest holdings make up 19% of its $331M portfolio in Q3 2014.
  • Regal Investment Advisors opened 97 new positions and closed 59 in Q3 2014.
  • Regal Investment Advisors's portfolio value rose 18% quarter-over-quarter to $331M.

Based on Regal Investment Advisors's 13F filing for Q3 2014, filed 14 Nov 2014.