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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
MINT icon
801
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17B
$2K ﹤0.01%
+16
New +$1.62K
MTZ icon
802
MasTec
MTZ
$21.9B
$2K ﹤0.01%
+60
New +$1.97K
MUFG icon
803
Mitsubishi UFJ Financial
MUFG
$254B
$2K ﹤0.01%
344
+3
+0.9% +$19
NL icon
804
NLI Holdings
NL
$317M
$2K ﹤0.01%
200
– –
PKG icon
805
Packaging Corp of America
PKG
$22.8B
$2K ﹤0.01%
+40
New +$2.17K
SMFG icon
806
Sumitomo Mitsui Financial
SMFG
$164B
$2K ﹤0.01%
204
+3
+1% +$28
SVM
807
Silvercorp Metals
SVM
$2.53B
$2K ﹤0.01%
572
– –
TEL icon
808
TE Connectivity
TEL
$62.6B
$2K ﹤0.01%
42
– –
WY icon
809
Weyerhaeuser
WY
$18.4B
$2K ﹤0.01%
+60
New +$1.7K
SPPI
810
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
$2K ﹤0.01%
200
– –
RJA
811
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Agriculture Total Return
RJA
$2K ﹤0.01%
208
+76
+58% +$632
SDRL
812
DELISTED
Seadrill Limited Common Stock
SDRL
– –
0
– –
S
813
DELISTED
Sprint Corporation
S
$2K ﹤0.01%
372
-2,057
-85% -$13.5K
TOO
814
DELISTED
Teekay Offshore Partners L.P.
TOO
$2K ﹤0.01%
67
+1
+2% +$33
ARII
815
DELISTED
American Railcar Industries, Inc.
ARII
$2K ﹤0.01%
+50
New +$1.78K
XRM
816
DELISTED
Xerium Technologies Inc (new)
XRM
$2K ﹤0.01%
161
– –
HSNI
817
DELISTED
HSN, Inc.
HSNI
$2K ﹤0.01%
44
– –
LVLT
818
DELISTED
Level 3 Communications Inc
LVLT
$2K ﹤0.01%
92
– –
CSH
819
DELISTED
CASH AMERICA INTERNATIONAL INC
CSH
$2K ﹤0.01%
115
– –
BBEP
820
DELISTED
BREITBURN ENERGY PARTNERS LP COM UNITS RPTNG LTD PRTNRSHIP
BBEP
$2K ﹤0.01%
115
-33
-22% -$587
DTV
821
DELISTED
DIRECTV COM STK (DE)
DTV
$2K ﹤0.01%
29
-5
-15% -$308
PVR
822
DELISTED
PVR PARTNERS L P COM UNIT REPTG LTD PARTNERSHIP INT
PVR
$2K ﹤0.01%
69
+2
+3% +$50
NSU
823
DELISTED
Nevsun Resources Ltd.
NSU
$2K ﹤0.01%
500
-600
-55% -$1.95K
SSRI
824
DELISTED
Silver Standard Resources
SSRI
$2K ﹤0.01%
300
– –
ADEA icon
825
Adeia
ADEA
$3.11B
$1K ﹤0.01%
151
-227
-60% -$1.2K
31 32
33
34 35

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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
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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 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.