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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
APA icon
751
APA Corp
APA
$13.3B
$3K ﹤0.01%
36
– –
AXON
752
Axon Enterprise
AXON
$46.4B
$3K ﹤0.01%
200
-246
-55% -$2.64K
BGT icon
753
BlackRock Floating Rate Income Trust
BGT
$325M
$3K ﹤0.01%
203
-20
-9% -$292
BSX icon
754
Boston Scientific
BSX
$71.5B
$3K ﹤0.01%
245
– –
CVE icon
755
Cenovus Energy
CVE
$52.1B
$3K ﹤0.01%
100
– –
DBP icon
756
Invesco DB Precious Metals Fund
DBP
$255M
$3K ﹤0.01%
59
– –
DLB icon
757
Dolby
DLB
$5.79B
$3K ﹤0.01%
90
– –
DRI icon
758
Darden Restaurants
DRI
$24.4B
$3K ﹤0.01%
+73
New +$3.17K
EXPE icon
759
Expedia Group
EXPE
$37.3B
$3K ﹤0.01%
50
– –
FSLR icon
760
First Solar
FSLR
$26.9B
$3K ﹤0.01%
80
-20
-20% -$846
IFGL icon
761
iShares International Developed Real Estate ETF
IFGL
$83.2M
$3K ﹤0.01%
100
– –
IMAX icon
762
IMAX
IMAX
$2.66B
$3K ﹤0.01%
100
– –
ITW icon
763
Illinois Tool Works
ITW
$85.3B
$3K ﹤0.01%
+42
New +$3.07K
NOC icon
764
Northrop Grumman
NOC
$81.2B
$3K ﹤0.01%
36
– –
PBA icon
765
Pembina Pipeline
PBA
$27.6B
$3K ﹤0.01%
100
– –
PFI icon
766
Invesco Dorsey Wright Financial Momentum ETF
PFI
$59M
$3K ﹤0.01%
100
– –
PHO icon
767
Invesco Water Resources ETF
PHO
$2.09B
$3K ﹤0.01%
138
– –
SKX
768
DELISTED
Skechers
SKX
$3K ﹤0.01%
330
-3,021
-90% -$28.7K
SVC
769
Service Properties Trust
SVC
$1.07B
$3K ﹤0.01%
20
– –
SYK icon
770
Stryker
SYK
$130B
$3K ﹤0.01%
50
– –
UYG icon
771
ProShares Ultra Financials
UYG
$847M
$3K ﹤0.01%
210
– –
WTI icon
772
W&T Offshore
WTI
$518M
$3K ﹤0.01%
196
-30
-13% -$485
ZBRA icon
773
Zebra Technologies
ZBRA
$17.8B
$3K ﹤0.01%
60
– –
SPWR
774
DELISTED
SunPower Corporation Common Stock
SPWR
$3K ﹤0.01%
153
– –
ERF
775
DELISTED
Enerplus Corporation
ERF
$3K ﹤0.01%
202
– –
29 30
31
32 33

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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
E.S. Barr & Co Lexington, Kentucky $1.72B AUM 12.69% 1-Year Est. Return
SFI
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DF
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WJA
Willis Johnson & Associates Houston, Texas $1.72B AUM 16.93% 1-Year Est. Return
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.