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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
NUM
626
DELISTED
Nuveen Michigan Quality Municipal Income Fund
NUM
$9K 0.01%
666
-7,973
-92% -$102K
AKS
627
DELISTED
AK Steel Holding Corp
AKS
$9K 0.01%
2,445
-676
-22% -$2.41K
SFLY
628
DELISTED
Shutterfly, Inc.
SFLY
$9K 0.01%
167
– –
TQNT
629
DELISTED
TRIQUINT SEMICONDUCTOR INC
TQNT
$9K 0.01%
1,100
– –
AXP icon
630
American Express
AXP
$230B
$8K ﹤0.01%
100
-150
-60% -$11.3K
AZN icon
631
AstraZeneca
AZN
$250B
$8K ﹤0.01%
148
-346
-70% -$17.4K
BFOR icon
632
Barron's 400 ETF
BFOR
$239M
$8K ﹤0.01%
1,200
– –
BLKB icon
633
Blackbaud
BLKB
$2.08B
$8K ﹤0.01%
200
– –
CMA
634
DELISTED
Comerica
CMA
$8K ﹤0.01%
200
– –
DINO icon
635
HF Sinclair
DINO
$14.5B
$8K ﹤0.01%
+200
New +$8.69K
EWC icon
636
iShares MSCI Canada ETF
EWC
$6.33B
$8K ﹤0.01%
292
-587
-67% -$16.3K
GWW icon
637
W.W. Grainger
GWW
$60.2B
$8K ﹤0.01%
30
– –
GXC icon
638
State Street SPDR S&P China ETF
GXC
$482M
$8K ﹤0.01%
114
– –
HIMX
639
Himax Technologies
HIMX
$2.55B
$8K ﹤0.01%
+800
New +$5.69K
HPS
640
John Hancock Preferred Income Fund III
HPS
$458M
$8K ﹤0.01%
500
– –
ITOT icon
641
iShares Core S&P Total US Stock Market ETF
ITOT
$97.8B
$8K ﹤0.01%
200
– –
IYK icon
642
iShares US Consumer Staples ETF
IYK
$1.41B
$8K ﹤0.01%
285
– –
MAT icon
643
Mattel
MAT
$4.23B
$8K ﹤0.01%
200
– –
NAD icon
644
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$8K ﹤0.01%
575
– –
PML
645
PIMCO Municipal Income Fund II
PML
$493M
$8K ﹤0.01%
700
– –
PRU icon
646
Prudential Financial
PRU
$41.8B
$8K ﹤0.01%
107
– –
RWX icon
647
State Street SPDR Dow Jones International Real Estate ETF
RWX
$270M
$8K ﹤0.01%
194
+1
+0.5% +$41
SPG icon
648
Simon Property Group
SPG
$72.3B
$8K ﹤0.01%
58
+26
+81% +$3.77K
TRP icon
649
TC Energy
TRP
$65.9B
$8K ﹤0.01%
187
-53
-22% -$2.36K
FMO
650
DELISTED
Fiduciary/Claymore Energy Infrastructure Fund
FMO
$8K ﹤0.01%
67
– –
24 25
26
27 28

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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.