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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
LCM
776
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$3K ﹤0.01%
325
– –
WIN
777
DELISTED
Windstream Holdings Inc
WIN
$3K ﹤0.01%
44
+1
+2% +$65
SQNM
778
DELISTED
SEQUENOM INC NEW
SQNM
$3K ﹤0.01%
1,000
– –
UNIS
779
DELISTED
Unilife Corporation
UNIS
$3K ﹤0.01%
80
– –
LO
780
DELISTED
LORILLARD INC COM STK
LO
$3K ﹤0.01%
74
-2
-3% -$88
CA
781
DELISTED
CA, Inc.
CA
$3K ﹤0.01%
+105
New +$3.15K
FTR
782
DELISTED
Frontier Communications Corp.
FTR
$3K ﹤0.01%
50
-10
-17% -$650
DGIT
783
DELISTED
DIGITAL GENERATION INC COM STK (DE)
DGIT
$3K ﹤0.01%
200
– –
ADSK icon
784
Autodesk
ADSK
$52.6B
$2K ﹤0.01%
50
– –
AEG icon
785
Aegon
AEG
$14.1B
$2K ﹤0.01%
327
+6
+2% +$31
AEO icon
786
American Eagle Outfitters
AEO
$3.01B
$2K ﹤0.01%
130
– –
ATI icon
787
ATI
ATI
$31.1B
$2K ﹤0.01%
70
– –
BVN icon
788
Compañía de Minas Buenaventura
BVN
$8.67B
$2K ﹤0.01%
150
+30
+25% +$396
BWZ icon
789
State Street SPDR Bloomberg Short Term International Treasury Bond ETF
BWZ
$270M
$2K ﹤0.01%
52
-7,230
-99% -$256K
DFS
790
DELISTED
Discover Financial Services
DFS
$2K ﹤0.01%
30
– –
EET icon
791
ProShares Ultra MSCI Emerging Markets
EET
$36.1M
$2K ﹤0.01%
30
– –
EXG icon
792
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$3.06B
$2K ﹤0.01%
250
– –
GILD icon
793
Gilead Sciences
GILD
$165B
$2K ﹤0.01%
25
+5
+25% +$299
HSBC icon
794
HSBC
HSBC
$356B
$2K ﹤0.01%
48
– –
HYD icon
795
VanEck High Yield Muni ETF
HYD
$4.45B
$2K ﹤0.01%
40
-497
-93% -$29.1K
IAG icon
796
IAMGOLD
IAG
$10.6B
$2K ﹤0.01%
322
+10
+3% +$52
IDCC icon
797
InterDigital
IDCC
$8.89B
$2K ﹤0.01%
64
-19,114
-100% -$721K
BRSL
798
Brightstar Lottery PLC
BRSL
$2.03B
$2K ﹤0.01%
100
– –
LEA icon
799
Lear
LEA
$8.18B
$2K ﹤0.01%
24
– –
LUMN icon
800
Lumen
LUMN
$6.44B
$2K ﹤0.01%
57
– –
30 31
32
33 34

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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
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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.