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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
HII icon
901
Huntington Ingalls Industries
HII
$12.8B
$0 ﹤0.01%
5
– –
ICLN icon
902
iShares Global Clean Energy ETF
ICLN
$2.4B
– –
-142
Closed -$1K
IHE icon
903
iShares US Pharmaceuticals ETF
IHE
$1.64B
– –
-897
Closed -$30K
INDY icon
904
iShares S&P India Nifty 50 Index Fund
INDY
$569M
– –
-93
Closed -$2K
INGR icon
905
Ingredion
INGR
$6.58B
– –
-50
Closed -$3K
INTU icon
906
Intuit
INTU
$89B
– –
-342
Closed -$21K
ISRG icon
907
Intuitive Surgical
ISRG
$134B
– –
-495
Closed -$28K
IWL icon
908
iShares Russell Top 200 ETF
IWL
$2.28B
– –
-872
Closed -$32K
JHS
909
John Hancock Income Securities Trust
JHS
$127M
– –
-1,544
Closed -$24K
MIDD icon
910
Middleby
MIDD
$6.08B
– –
-216
Closed -$12K
MNST icon
911
Monster Beverage
MNST
$88.4B
– –
-1,236
Closed -$13K
MORT icon
912
VanEck Mortgage REIT Income ETF
MORT
$385M
– –
-1,644
Closed -$41K
MOS icon
913
The Mosaic Company
MOS
$7.33B
$0 ﹤0.01%
2
– –
MPV
914
Barings Participation Investors
MPV
$176M
– –
-260
Closed -$4K
NWG icon
915
NatWest
NWG
$76.4B
$0 ﹤0.01%
14
– –
NWSA icon
916
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
+1
New +$16
OI icon
917
O-I Glass
OI
$1.08B
– –
-575
Closed -$16K
ORLY icon
918
O'Reilly Automotive
ORLY
$76.3B
– –
-600
Closed -$5K
PHT
919
DELISTED
Pioneer High Income Fund
PHT
– –
-350
Closed -$6K
PST icon
920
ProShares Trust UltraShort Lehman 7-10 Year Treasury
PST
$10.5M
– –
-330
Closed -$10K
REM icon
921
iShares Mortgage Real Estate ETF
REM
$548M
$0 ﹤0.01%
3
– –
SBUX icon
922
Starbucks
SBUX
$120B
– –
-1,166
Closed -$38K
SCHA icon
923
Schwab U.S Small- Cap ETF
SCHA
$23.1B
– –
-15,796
Closed -$174K
SCHB icon
924
Schwab US Broad Market ETF
SCHB
$44.9B
– –
-28,110
Closed -$182K
SCHD icon
925
Schwab US Dividend Equity ETF
SCHD
$105B
– –
-16,983
Closed -$185K
35 36
37
38 39

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CC
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VCM
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ESBC
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SFI
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DF
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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.