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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
K
601
DELISTED
Kellanova
K
$10K 0.01%
182
– –
NI icon
602
NiSource
NI
$20.4B
$10K 0.01%
809
– –
PRFZ icon
603
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.89B
$10K 0.01%
580
– –
PWV icon
604
Invesco Large Cap Value ETF
PWV
$1.72B
$10K 0.01%
400
– –
SQM icon
605
Sociedad Química y Minera de Chile
SQM
$20.6B
$10K 0.01%
337
+21
+7% +$655
TSLA icon
606
Tesla
TSLA
$1.3T
$10K 0.01%
750
-150
-17% -$1.48K
WTRG icon
607
Essential Utilities
WTRG
$11.4B
$10K 0.01%
406
– –
ANAT
608
DELISTED
American National Group, Inc. Common Stock
ANAT
$10K 0.01%
100
– –
TCP
609
DELISTED
TC Pipelines LP
TCP
$10K 0.01%
202
-282
-58% -$13.9K
AHGP
610
DELISTED
Alliance Holdings GP
AHGP
$10K 0.01%
172
-7
-4% -$436
AJG icon
611
Arthur J. Gallagher & Co
AJG
$63.6B
$9K 0.01%
200
– –
FAF icon
612
First American
FAF
$7.58B
$9K 0.01%
378
– –
HIG icon
613
Hartford Financial Services
HIG
$39.3B
$9K 0.01%
300
– –
IP icon
614
International Paper
IP
$22B
$9K 0.01%
214
– –
IQV icon
615
IQVIA
IQV
$39.3B
$9K 0.01%
200
– –
JRS icon
616
Nuveen Real Estate Income Fund
JRS
$246M
$9K 0.01%
800
– –
KT icon
617
KT
KT
$8.81B
$9K 0.01%
566
– –
L icon
618
Loews
L
$23.6B
$9K 0.01%
200
– –
LUV icon
619
Southwest Airlines
LUV
$23B
$9K 0.01%
648
-67
-9% -$912
MSTR icon
620
Strategy Inc
MSTR
$38.4B
$9K 0.01%
900
– –
NHI icon
621
National Health Investors
NHI
$3.65B
$9K 0.01%
+161
New +$9.61K
OHI icon
622
Omega Healthcare
OHI
$14.7B
$9K 0.01%
300
– –
USB icon
623
US Bancorp
USB
$99.6B
$9K 0.01%
249
– –
NXGN
624
DELISTED
NextGen Healthcare, Inc. Common Stock
NXGN
$9K 0.01%
400
– –
SJI
625
DELISTED
South Jersey Industries, Inc.
SJI
$9K 0.01%
300
– –
23 24
25
26 27

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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.