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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
CWB icon
701
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.69B
$5K ﹤0.01%
117
-19
-14% -$844
DVN icon
702
Devon Energy
DVN
$47.3B
$5K ﹤0.01%
89
– –
FHN icon
703
First Horizon
FHN
$12.1B
$5K ﹤0.01%
430
-490
-53% -$5.78K
HOG icon
704
Harley-Davidson
HOG
$2.71B
$5K ﹤0.01%
73
-15
-17% -$887
HPI
705
John Hancock Preferred Income Fund
HPI
$433M
$5K ﹤0.01%
250
– –
NOG icon
706
Northern Oil and Gas
NOG
$2.35B
$5K ﹤0.01%
33
– –
PCAR icon
707
PACCAR
PCAR
$70.1B
$5K ﹤0.01%
135
– –
PIPR icon
708
Piper Sandler
PIPR
$5.29B
$5K ﹤0.01%
+600
New +$5.05K
RHI icon
709
Robert Half
RHI
$4.37B
$5K ﹤0.01%
134
+1
+0.8% +$37
SNY icon
710
Sanofi
SNY
$104B
$5K ﹤0.01%
103
– –
SPH icon
711
Suburban Propane Partners
SPH
$1.17B
$5K ﹤0.01%
110
– –
SWK icon
712
Stanley Black & Decker
SWK
$15.7B
$5K ﹤0.01%
58
-2,700
-98% -$231K
WOLF icon
713
Wolfspeed
WOLF
$1.71B
$5K ﹤0.01%
80
+30
+60% +$1.91K
NSL
714
DELISTED
NUVEEN SENIOR INCM FD
NSL
$5K ﹤0.01%
641
-737
-53% -$5.33K
GM.WS.B
715
DELISTED
General Motors Company
GM.WS.B
$5K ﹤0.01%
282
– –
AET
716
DELISTED
Aetna Inc
AET
$5K ﹤0.01%
76
– –
MJN
717
DELISTED
Mead Johnson Nutrition Company
MJN
$5K ﹤0.01%
68
– –
LPNT
718
DELISTED
LifePoint Health, Inc.
LPNT
$5K ﹤0.01%
100
– –
BIP icon
719
Brookfield Infrastructure Partners
BIP
$18B
$4K ﹤0.01%
287
-734
-72% -$10.7K
FLS icon
720
Flowserve
FLS
$10.2B
$4K ﹤0.01%
70
– –
GD icon
721
General Dynamics
GD
$106B
$4K ﹤0.01%
42
-1
-2% -$85
GEL icon
722
Genesis Energy
GEL
$1.85B
$4K ﹤0.01%
80
+15
+23% +$755
HYT icon
723
BlackRock Corporate High Yield Fund
HYT
$1.37B
$4K ﹤0.01%
327
-2,347
-88% -$27.3K
IAT icon
724
iShares US Regional Banks ETF
IAT
$681M
$4K ﹤0.01%
150
– –
ICF icon
725
iShares Select U.S. REIT ETF
ICF
$2.09B
$4K ﹤0.01%
100
– –
27 28
29
30 31

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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.