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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
AWK icon
676
American Water Works
AWK
$26.9B
$6K ﹤0.01%
149
– –
CLF icon
677
Cleveland-Cliffs
CLF
$6.99B
$6K ﹤0.01%
310
– –
COKE icon
678
Coca-Cola Consolidated
COKE
$12.8B
$6K ﹤0.01%
1,000
– –
DLS icon
679
WisdomTree International SmallCap Dividend Fund
DLS
$1.08B
$6K ﹤0.01%
100
– –
FE icon
680
FirstEnergy
FE
$27.5B
$6K ﹤0.01%
154
+2
+1% +$75
GAIN icon
681
Gladstone Investment Corp
GAIN
$661M
$6K ﹤0.01%
800
– –
GOF icon
682
Guggenheim Strategic Opportunities Fund
GOF
$2.26B
$6K ﹤0.01%
250
– –
KSS icon
683
Kohl's
KSS
$2.19B
$6K ﹤0.01%
115
– –
MU icon
684
Micron Technology
MU
$991B
$6K ﹤0.01%
350
– –
NTGR icon
685
NETGEAR
NTGR
$635M
$6K ﹤0.01%
200
– –
PCEF icon
686
Invesco CEF Income Composite ETF
PCEF
$814M
$6K ﹤0.01%
240
– –
PCG icon
687
PG&E
PCG
$38.5B
$6K ﹤0.01%
150
– –
REMX icon
688
VanEck Rare Earth/Strategic Metals ETF
REMX
$2.24B
$6K ﹤0.01%
48
– –
RSP icon
689
Invesco S&P 500 Equal Weight ETF
RSP
$99.5B
$6K ﹤0.01%
92
– –
SNEX icon
690
StoneX
SNEX
$7.94B
$6K ﹤0.01%
1,493
– –
PRSU
691
Pursuit Attractions and Hospitality Inc
PRSU
$1.25B
$6K ﹤0.01%
293
+1
+0.3% +$21
APC
692
DELISTED
Anadarko Petroleum
APC
$6K ﹤0.01%
68
– –
EEQ
693
DELISTED
Enbridge Energy Management Llc
EEQ
$6K ﹤0.01%
334
-1
-0.3% -$19
FNGN
694
DELISTED
Financial Engines, Inc.
FNGN
$6K ﹤0.01%
102
– –
CAB
695
DELISTED
Cabela's Inc
CAB
$6K ﹤0.01%
100
– –
AVNR
696
DELISTED
AVANIR PHARMACEUTICALS, INC CL A
AVNR
$6K ﹤0.01%
1,400
– –
XIDE
697
DELISTED
EXIDE TECHNOLOGIES NEW COM
XIDE
$6K ﹤0.01%
16,680
– –
ADBE icon
698
Adobe
ADBE
$105B
$5K ﹤0.01%
100
– –
AVK
699
Advent Convertible and Income Fund
AVK
$560M
$5K ﹤0.01%
308
– –
BTO
700
John Hancock Financial Opportunities Fund
BTO
$803M
$5K ﹤0.01%
212
– –
26 27
28
29 30

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PAIM
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CC
Commodore Capital New York $1.73B AUM 298.96% 1-Year Est. Return
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
Oasis Management Company Grand Cayman, Cayman Islands $1.72B AUM 32.1% 1-Year Est. Return

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.