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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
-0.56%
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
$331M
AUM Growth
+$50.1M
Cap. Flow
+$53.9M
Cap. Flow %
16.29%
Top 10 Hldgs %
19.29%
Holding
1,024
New
97
Increased
293
Reduced
238
Closed
59

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$11M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$4.66M
3
AAXJ icon
iShares MSCI All Country Asia ex Japan ETF
AAXJ
+$3.68M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$3.21M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.66M

Top Sells

Rank Stock Value
1
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$5.25M
2
VNQ icon
Vanguard Real Estate ETF
VNQ
+$3.19M
3
APO icon
Apollo Global Management
APO
+$2.15M
4
WMT icon
Walmart Inc
WMT
+$2.08M
5
FXU icon
First Trust Utilities AlphaDEX Fund
FXU
+$1.57M

Sector Composition

Rank Sector Weight
1 Energy 6.25%
2 Healthcare 5.62%
3 Financials 5.54%
4 Consumer Staples 5.35%
5 Consumer Discretionary 4.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RJA
926
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Agriculture Total Return
RJA
$1K ﹤0.01%
208
– –
BPY
927
DELISTED
Brookfield Property Partners L.P. Limited Partnership Units
BPY
$1K ﹤0.01%
57
– –
AIG.WS
928
DELISTED
American International Group, Inc.
AIG.WS
$1K ﹤0.01%
26
-42
-62% -$1.06K
STI
929
DELISTED
SunTrust Banks, Inc.
STI
$1K ﹤0.01%
31
+2
+7% +$77
CST
930
DELISTED
CST Brands, Inc.
CST
$1K ﹤0.01%
38
– –
RVLT
931
DELISTED
Revolution Lighting Technologies, Inc. - Class A
RVLT
$1K ﹤0.01%
50
– –
TYC
932
DELISTED
TYCO INTL PLC COM SHS (IRL)
TYC
$1K ﹤0.01%
15
-24
-62% -$1.12K
NTP
933
DELISTED
Nam Tai Property Inc.
NTP
$1K ﹤0.01%
190
– –
LIME
934
DELISTED
LIME ENERGY CO.NEW COMMON STOCK
LIME
$1K ﹤0.01%
357
– –
HAWK
935
DELISTED
Blackhawk Network Holdings, Inc. Common Stock
HAWK
$1K ﹤0.01%
18
– –
AMAT icon
936
Applied Materials
AMAT
$428B
– –
-50
Closed -$1K
EFOR
937
Everforth Inc
EFOR
$1.32B
– –
-200
Closed -$7K
BFK
938
DELISTED
BlackRock Municipal Income Trust
BFK
– –
-1,500
Closed -$21K
BWA icon
939
BorgWarner
BWA
$13.9B
– –
-565
Closed -$32K
CG icon
940
Carlyle Group
CG
$17.2B
– –
-35
Closed -$1K
CIG icon
941
CEMIG Preferred Shares
CIG
$6.01B
– –
-3,931
Closed -$16K
CIVI
942
DELISTED
Civitas Resources
CIVI
– –
-1
Closed -$6K
CNP icon
943
CenterPoint Energy
CNP
$26.8B
– –
-110
Closed -$3K
CSQ icon
944
Calamos Strategic Total Return Fund
CSQ
$3.35B
$0 ﹤0.01%
+23
New +$273
CTSH icon
945
Cognizant
CTSH
$26B
$0 ﹤0.01%
10
– –
D icon
946
Dominion Energy
D
$59.3B
– –
-88
Closed -$6K
DRV icon
947
Direxion Daily Real Estate Bear 3X ETF
DRV
$25.7M
– –
0
– –
DSGR icon
948
Distribution Solutions Group
DSGR
$1.61B
– –
-170
Closed -$1K
EA
949
DELISTED
Electronic Arts
EA
$0 ﹤0.01%
2
– –
EES icon
950
WisdomTree US SmallCap Earnings Fund
EES
$731M
– –
-300
Closed -$8K
36 37
38
39 40

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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
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 2014 Portfolio in Review

As of Q3 2014, Regal Investment Advisors held 1,024 positions worth $331M, up 18% from $281M the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Regal Investment Advisors deployed $53.9M of net new capital in Q3 2014, opening 97 new positions and adding to 293 existing holdings. Its largest new stake was iShares MSCI All Country Asia ex Japan ETF: 56,951 shares worth $3.49M.

By sector, the portfolio is most concentrated in Energy at 6.3% of assets, down from 6.7% a quarter earlier, followed by Healthcare and Financials.

On the sell side, the largest reduction was State Street SPDR Bloomberg High Yield Bond ETF, an estimated $5.25M trimmed.

  • Regal Investment Advisors's largest Q3 2014 buy was iShares MSCI All Country Asia ex Japan ETF: 56,951 shares worth $3.49M.
  • Regal Investment Advisors added most to iShares iBoxx $ Investment Grade Corporate Bond ETF in Q3 2014, an estimated $11M increase.
  • Regal Investment Advisors's biggest Q3 2014 reduction was State Street SPDR Bloomberg High Yield Bond ETF, cutting an estimated $5.25M.
  • Regal Investment Advisors fully exited Nuveen Michigan Quality Municipal Income Fund in Q3 2014, selling an estimated $261K.
  • Regal Investment Advisors's ten largest holdings make up 19% of its $331M portfolio in Q3 2014.
  • Regal Investment Advisors opened 97 new positions and closed 59 in Q3 2014.
  • Regal Investment Advisors's portfolio value rose 18% quarter-over-quarter to $331M.

Based on Regal Investment Advisors's 13F filing for Q3 2014, filed 14 Nov 2014.