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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
+8.26%
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
$175M
AUM Growth
+$3.45M
Cap. Flow
+$6.2M
Cap. Flow %
3.55%
Top 10 Hldgs %
15.72%
Holding
1,045
New
138
Increased
210
Reduced
309
Closed
203

Top Buys

Rank Stock Value
1
MA icon
Mastercard
MA
+$13.7M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$1.57M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.57M
4
RPXC
RPX Corporation
RPXC
+$1.3M
5
CPLA
Capella Education Company
CPLA
+$1.21M

Top Sells

Rank Stock Value
1
BND icon
Vanguard Total Bond Market
BND
+$1.63M
2
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$1.51M
3
SAM icon
Boston Beer
SAM
+$1.43M
4
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$1.38M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.27M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 9.03%
2 Energy 6.62%
3 Industrials 6.39%
4 Consumer Staples 6.37%
5 Healthcare 5.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DNKN
601
DELISTED
Dunkin' Brands Group, Inc.
DNKN
$10K 0.01%
+200
New +$9.47K
WES
602
DELISTED
Western Gas Partners Lp
WES
$10K 0.01%
170
-143
-46% -$8.64K
AJG icon
603
Arthur J. Gallagher & Co
AJG
$63.6B
$9K 0.01%
200
– –
AZN icon
604
AstraZeneca
AZN
$250B
$9K 0.01%
147
-1
-0.7% -$54
BFOR icon
605
Barron's 400 ETF
BFOR
$239M
$9K 0.01%
1,200
– –
GXC icon
606
State Street SPDR S&P China ETF
GXC
$482M
$9K 0.01%
114
– –
IEF icon
607
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
$9K 0.01%
91
-7,311
-99% -$742K
IYK icon
608
iShares US Consumer Staples ETF
IYK
$1.41B
$9K 0.01%
285
– –
PRU icon
609
Prudential Financial
PRU
$41.8B
$9K 0.01%
100
-7
-7% -$598
TU icon
610
Telus
TU
$15.3B
$9K 0.01%
494
-296
-37% -$5.11K
FMO
611
DELISTED
Fiduciary/Claymore Energy Infrastructure Fund
FMO
$9K 0.01%
67
– –
NQM
612
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
$9K 0.01%
700
-650
-48% -$8.7K
GM.WS.A
613
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
$9K 0.01%
+294
New +$8.29K
AIG icon
614
American International
AIG
$41.8B
$8K ﹤0.01%
148
– –
COF icon
615
Capital One
COF
$134B
$8K ﹤0.01%
100
-2
-2% -$142
EMLC icon
616
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.84B
$8K ﹤0.01%
+174
New +$8.42K
HPS
617
John Hancock Preferred Income Fund III
HPS
$458M
$8K ﹤0.01%
500
– –
JRS icon
618
Nuveen Real Estate Income Fund
JRS
$246M
$8K ﹤0.01%
800
– –
KT icon
619
KT
KT
$8.81B
$8K ﹤0.01%
509
-57
-10% -$893
MDLZ icon
620
Mondelez International
MDLZ
$79.9B
$8K ﹤0.01%
214
-407
-66% -$13.5K
MU icon
621
Micron Technology
MU
$991B
$8K ﹤0.01%
350
– –
NVDA icon
622
NVIDIA
NVDA
$5.42T
$8K ﹤0.01%
20,840
-105,080
-83% -$40.7K
PEGA icon
623
Pegasystems
PEGA
$5.38B
$8K ﹤0.01%
640
-2,640
-80% -$28.9K
TSLA icon
624
Tesla
TSLA
$1.3T
$8K ﹤0.01%
750
– –
PRSU
625
Pursuit Attractions and Hospitality Inc
PRSU
$1.25B
$8K ﹤0.01%
293
– –
23 24
25
26 27

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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
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
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OMC
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Regal Investment Advisors's Q4 2013 Portfolio in Review

As of Q4 2013, Regal Investment Advisors held 1,045 positions worth $175M, up 2% from $171M the previous quarter. Its ten largest holdings account for 16% of the portfolio.

Regal Investment Advisors deployed $6.2M of net new capital in Q4 2013, opening 138 new positions and adding to 210 existing holdings. Its largest new stake was RPX Corporation: 76,430 shares worth $1.29M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 9% of assets, up from 7.5% a quarter earlier, followed by Energy and Industrials.

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $1.51M trimmed.

  • Regal Investment Advisors's largest Q4 2013 buy was RPX Corporation: 76,430 shares worth $1.29M.
  • Regal Investment Advisors added most to Mastercard in Q4 2013, an estimated $13.7M increase.
  • Regal Investment Advisors's biggest Q4 2013 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $1.51M.
  • Regal Investment Advisors fully exited Vanguard Total Bond Market in Q4 2013, selling an estimated $1.63M.
  • Regal Investment Advisors's ten largest holdings make up 16% of its $175M portfolio in Q4 2013.
  • Regal Investment Advisors opened 138 new positions and closed 203 in Q4 2013.
  • Regal Investment Advisors's portfolio value rose 2% quarter-over-quarter to $175M.

Based on Regal Investment Advisors's 13F filing for Q4 2013, filed 6 Feb 2014.