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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
+4.76%
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
$84.6M
AUM Growth
-$461M
Cap. Flow
-$468M
Cap. Flow %
-553.36%
Top 10 Hldgs %
70.59%
Holding
330
New
–
Increased
5
Reduced
23
Closed
302

Top Buys

Rank Stock Value
1
FM
iShares Frontier and Select EM ETF
FM
+$103K
2
VWOB icon
Vanguard Emerging Markets Government Bond ETF
VWOB
+$60.1K
3
HYMB icon
State Street SPDR Nuveen ICE High Yield Municipal Bond ETF
HYMB
+$25.8K
4
EWX icon
State Street SPDR S&P Emerging Markets Small Cap ETF
EWX
+$18.2K
5
GNR icon
State Street SPDR S&P Global Natural Resources ETF
GNR
+$9.48K

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$29.2M
2
MSFT icon
Microsoft
MSFT
+$13.8M
3
FTCS icon
First Trust Capital Strength ETF
FTCS
+$12.2M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$11.6M
5
QQQ icon
Invesco QQQ Trust
QQQ
+$10.8M

Sector Composition

Rank Sector Weight
1 Communication Services 0%
2 Consumer Discretionary 0%
3 Consumer Staples 0%
4 Energy 0%
5 Financials 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FSK icon
76
FS KKR Capital
FSK
$3.44B
– –
-17,152
Closed -$240K
FSLY icon
77
Fastly Inc
FSLY
$3.66B
– –
-15,399
Closed -$1.31M
FTA icon
78
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.42B
– –
-83,339
Closed -$3.79M
FTCS icon
79
First Trust Capital Strength ETF
FTCS
$7.95B
– –
-208,139
Closed -$12.2M
FTXL icon
80
First Trust Nasdaq Semiconductor ETF
FTXL
$1.36B
– –
-5,378
Closed -$236K
FUTY icon
81
Fidelity MSCI Utilities Index ETF
FUTY
$2.29B
– –
-8,552
Closed -$312K
FV icon
82
First Trust Dorsey Wright Focus 5 ETF
FV
$3.77B
– –
-106,407
Closed -$3.42M
FVD icon
83
First Trust Value Line Dividend Fund
FVD
$8.4B
– –
-9,843
Closed -$298K
FXD icon
84
First Trust Consumer Discretionary AlphaDEX Fund
FXD
$276M
– –
-8,700
Closed -$325K
FXG icon
85
First Trust Consumer Staples AlphaDEX Fund
FXG
$231M
– –
-18,299
Closed -$843K
FXH icon
86
First Trust Health Care AlphaDEX Fund
FXH
$1.11B
– –
-36,640
Closed -$3.31M
FXL icon
87
First Trust Technology AlphaDEX Fund
FXL
$2.79B
– –
-3,868
Closed -$323K
FXN icon
88
First Trust Energy AlphaDEX Fund
FXN
$368M
– –
-10,384
Closed -$68K
FXO icon
89
First Trust Financials AlphaDEX Fund
FXO
$1.14B
– –
-44,829
Closed -$1.14M
FXR icon
90
First Trust Industrials/Producer Durables AlphaDEX Fund
FXR
$770M
– –
-11,297
Closed -$428K
FXU icon
91
First Trust Utilities AlphaDEX Fund
FXU
$825M
– –
-13,301
Closed -$343K
FYX icon
92
First Trust Small Cap Core AlphaDEX Fund
FYX
$1.41B
– –
-62,498
Closed -$3.39M
GBIL icon
93
Goldman Sachs Access Treasury 0-1 Year ETF
GBIL
$7.59B
– –
-8,120
Closed -$816K
GE icon
94
GE Aerospace
GE
$384B
– –
-8,152
Closed -$278K
GILD icon
95
Gilead Sciences
GILD
$165B
– –
-19,673
Closed -$1.51M
GIS icon
96
General Mills
GIS
$19.7B
– –
-15,793
Closed -$974K
GLD icon
97
SPDR Gold Trust
GLD
$142B
– –
-23,312
Closed -$3.9M
GPC icon
98
Genuine Parts
GPC
$18.7B
– –
-4,915
Closed -$427K
GS icon
99
Goldman Sachs
GS
$303B
– –
-2,246
Closed -$444K
GSBD icon
100
Goldman Sachs BDC
GSBD
$1.1B
– –
-16,400
Closed -$266K
2 3
4
5 6

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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
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SFI
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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 2020 Portfolio in Review

As of Q3 2020, Regal Investment Advisors held 330 positions worth $84.6M, down 84% from $545M the previous quarter. Its ten largest holdings account for 71% of the portfolio.

Regal Investment Advisors withdrew a net $468M in Q3 2020, closing 302 positions and reducing 23 holdings. Its most notable exit was Microsoft, an estimated $13.8M position sold in full.

By sector, the portfolio is most concentrated in Communication Services at 0% of assets, down from 1.5% a quarter earlier, followed by Consumer Discretionary and Consumer Staples.

Against the trend, Regal Investment Advisors added an estimated $103K to iShares Frontier and Select EM ETF.

  • Regal Investment Advisors added most to iShares Frontier and Select EM ETF in Q3 2020, an estimated $103K increase.
  • Regal Investment Advisors's biggest Q3 2020 reduction was iShares Core S&P 500 ETF, cutting an estimated $29.2M.
  • Regal Investment Advisors fully exited Microsoft in Q3 2020, selling an estimated $13.8M.
  • Regal Investment Advisors's ten largest holdings make up 71% of its $84.6M portfolio in Q3 2020.
  • Regal Investment Advisors opened 0 new positions and closed 302 in Q3 2020.
  • Regal Investment Advisors's portfolio value fell 84% quarter-over-quarter to $84.6M.

Based on Regal Investment Advisors's 13F filing for Q3 2020, filed 13 Nov 2020.