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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
AVK
651
Advent Convertible and Income Fund
AVK
$563M
$6K ﹤0.01%
308
– –
AWK icon
652
American Water Works
AWK
$26.9B
$6K ﹤0.01%
149
– –
CRUS icon
653
Cirrus Logic
CRUS
$6.26B
$6K ﹤0.01%
308
-200
-39% -$4.32K
DBEM icon
654
Xtrackers MSCI Emerging Markets Hedged Equity ETF
DBEM
$108M
$6K ﹤0.01%
255
-407
-61% -$8.87K
DLS icon
655
WisdomTree International SmallCap Dividend Fund
DLS
$1.08B
$6K ﹤0.01%
100
– –
FLS icon
656
Flowserve
FLS
$10.2B
$6K ﹤0.01%
70
– –
GAIN icon
657
Gladstone Investment Corp
GAIN
$661M
$6K ﹤0.01%
800
– –
MDT icon
658
Medtronic
MDT
$112B
$6K ﹤0.01%
103
-150
-59% -$8.51K
OTEX icon
659
Open Text
OTEX
$6.04B
$6K ﹤0.01%
240
-360
-60% -$7.44K
PCG icon
660
PG&E
PCG
$38.5B
$6K ﹤0.01%
150
– –
RAMP icon
661
LiveRamp
RAMP
$2.3B
$6K ﹤0.01%
+170
New +$5.68K
RHI icon
662
Robert Half
RHI
$4.37B
$6K ﹤0.01%
134
– –
SNY icon
663
Sanofi
SNY
$104B
$6K ﹤0.01%
103
– –
TUR icon
664
iShares MSCI Turkey ETF
TUR
$213M
$6K ﹤0.01%
+130
New +$7.18K
VIVS
665
VivoSim Labs
VIVS
$1.64M
$6K ﹤0.01%
+2
New +$3.93K
EEQ
666
DELISTED
Enbridge Energy Management Llc
EEQ
$6K ﹤0.01%
332
-2
-0.6% -$36
PGH
667
DELISTED
Pengrowth Energy Corporation
PGH
$6K ﹤0.01%
+1,000
New +$6.29K
AA icon
668
Alcoa
AA
$13.2B
$5K ﹤0.01%
208
-147
-41% -$3.26K
BTO
669
John Hancock Financial Opportunities Fund
BTO
$803M
$5K ﹤0.01%
212
– –
CWB icon
670
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.69B
$5K ﹤0.01%
98
-19
-16% -$876
DVN icon
671
Devon Energy
DVN
$47.3B
$5K ﹤0.01%
88
-1
-1% -$61
FAST icon
672
Fastenal
FAST
$59.5B
$5K ﹤0.01%
380
-680
-64% -$8.17K
FE icon
673
FirstEnergy
FE
$27.5B
$5K ﹤0.01%
156
+2
+1% +$70
GOF icon
674
Guggenheim Strategic Opportunities Fund
GOF
$2.26B
$5K ﹤0.01%
250
– –
IAT icon
675
iShares US Regional Banks ETF
IAT
$681M
$5K ﹤0.01%
150
– –
25 26
27
28 29

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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.