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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
+8.26%
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
$175M
AUM Growth
+$3.45M
Cap. Flow
+$6.2M
Cap. Flow %
3.55%
Top 10 Hldgs %
15.72%
Holding
1,045
New
138
Increased
210
Reduced
309
Closed
203

Top Buys

Rank Stock Value
1
MA icon
Mastercard
MA
+$13.7M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$1.57M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.57M
4
RPXC
RPX Corporation
RPXC
+$1.3M
5
CPLA
Capella Education Company
CPLA
+$1.21M

Top Sells

Rank Stock Value
1
BND icon
Vanguard Total Bond Market
BND
+$1.63M
2
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$1.51M
3
SAM icon
Boston Beer
SAM
+$1.43M
4
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$1.38M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.27M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 9.03%
2 Energy 6.62%
3 Industrials 6.39%
4 Consumer Staples 6.37%
5 Healthcare 5.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PHK
926
PIMCO High Income Fund
PHK
$878M
– –
-69
Closed -$1K
PICB icon
927
Invesco International Corporate Bond ETF
PICB
$362M
– –
-435
Closed -$13K
PIPR icon
928
Piper Sandler
PIPR
$5.27B
– –
-600
Closed -$5K
PKG icon
929
Packaging Corp of America
PKG
$22.6B
– –
-40
Closed -$2K
PML
930
PIMCO Municipal Income Fund II
PML
$494M
– –
-700
Closed -$8K
PTY icon
931
PIMCO Corporate & Income Opportunity Fund
PTY
$2.53B
– –
-1,250
Closed -$23K
QQQX icon
932
Nuveen NASDAQ 100 Dynamic Overwrite Fund
QQQX
$1.5B
– –
-1,330
Closed -$22K
REM icon
933
iShares Mortgage Real Estate ETF
REM
$548M
– –
-3
Closed –
REMX icon
934
VanEck Rare Earth/Strategic Metals ETF
REMX
$2.23B
– –
-48
Closed -$6K
SA
935
Seabridge Gold
SA
$3.37B
– –
-355
Closed -$4K
SCHC icon
936
Schwab International Small-Cap Equity ETF
SCHC
$5.64B
– –
-6,501
Closed -$201K
SCHF icon
937
Schwab International Equity ETF
SCHF
$68.5B
– –
-2,286
Closed -$35K
SCHO icon
938
Schwab Short-Term US Treasury ETF
SCHO
$12.8B
– –
-7,400
Closed -$187K
SCHR
939
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
– –
-7,196
Closed -$190K
SCHZ icon
940
Schwab US Aggregate Bond ETF
SCHZ
$10.5B
– –
-14,928
Closed -$379K
SHM icon
941
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.47B
– –
-1,617
Closed -$78K
SHW icon
942
Sherwin-Williams
SHW
$89.3B
– –
-360
Closed -$22K
SIRI icon
943
SiriusXM
SIRI
$10B
– –
-3,720
Closed -$144K
SMCI icon
944
Super Micro Computer
SMCI
$19.9B
– –
-4,920
Closed -$7K
SPH icon
945
Suburban Propane Partners
SPH
$1.19B
– –
-110
Closed -$5K
SPXL icon
946
Direxion Daily S&P 500 Bull 3x ETF
SPXL
$7.42B
– –
-12,584
Closed -$151K
STLD icon
947
Steel Dynamics
STLD
$37.4B
– –
-59,869
Closed -$1M
STPZ icon
948
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund
STPZ
$516M
– –
-141
Closed -$7K
SVM
949
Silvercorp Metals
SVM
$2.5B
– –
-572
Closed -$2K
TAP icon
950
Molson Coors Class B
TAP
$8.1B
– –
-706
Closed -$35K
36 37
38
39 40

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CC
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VCM
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ESBC
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SFI
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MAM
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DF
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WJA
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Regal Investment Advisors's Q4 2013 Portfolio in Review

As of Q4 2013, Regal Investment Advisors held 1,045 positions worth $175M, up 2% from $171M the previous quarter. Its ten largest holdings account for 16% of the portfolio.

Regal Investment Advisors deployed $6.2M of net new capital in Q4 2013, opening 138 new positions and adding to 210 existing holdings. Its largest new stake was RPX Corporation: 76,430 shares worth $1.29M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 9% of assets, up from 7.5% a quarter earlier, followed by Energy and Industrials.

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $1.51M trimmed.

  • Regal Investment Advisors's largest Q4 2013 buy was RPX Corporation: 76,430 shares worth $1.29M.
  • Regal Investment Advisors added most to Mastercard in Q4 2013, an estimated $13.7M increase.
  • Regal Investment Advisors's biggest Q4 2013 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $1.51M.
  • Regal Investment Advisors fully exited Vanguard Total Bond Market in Q4 2013, selling an estimated $1.63M.
  • Regal Investment Advisors's ten largest holdings make up 16% of its $175M portfolio in Q4 2013.
  • Regal Investment Advisors opened 138 new positions and closed 203 in Q4 2013.
  • Regal Investment Advisors's portfolio value rose 2% quarter-over-quarter to $175M.

Based on Regal Investment Advisors's 13F filing for Q4 2013, filed 6 Feb 2014.