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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
OIBR.C
976
DELISTED
OI S.A. American Depositary Shares, each representing five shares of common stock
OIBR.C
– –
0
– –
KOG
977
DELISTED
KODIAK OIL & GAS CORP
KOG
$0 ﹤0.01%
25
– –
CSP
978
DELISTED
AMER STRATEGIC INCM PTFL-III
CSP
$0 ﹤0.01%
8
– –
FBMI
979
DELISTED
FIRSTBANK CORP (MICH)
FBMI
– –
-350
Closed -$5K
LSI
980
DELISTED
LSI CORPORATION
LSI
$0 ﹤0.01%
12
-21
-64% -$161
AH
981
DELISTED
Accretive Health
AH
– –
-89
Closed -$1K
ANEN
982
DELISTED
ANAREN INC
ANEN
– –
-16
Closed –
ARB
983
DELISTED
ARBITRON INC (NEW)
ARB
– –
-1,060
Closed -$49K
CNH
984
DELISTED
CNH GLOBAL N.V. (NEW)
CNH
– –
-241
Closed -$10K
MBND
985
DELISTED
MULTIBAND CORP NEW COM (MN)
MBND
– –
-200
Closed -$1K
QTWW
986
DELISTED
QUANTUM FUEL SYS TECHNOLOGIES WORLDWIDE INC COM STK (DE)
QTWW
$0 ﹤0.01%
4
– –
TRLG
987
DELISTED
TRUE RELIGION APPAREL INC
TRLG
– –
-390
Closed -$12K
SATC
988
DELISTED
SATCON TECHNOLOGY CORP COM NEW
SATC
$0 ﹤0.01%
63
– –
EGLE
989
DELISTED
Eagle Bulk Shipping Inc.
EGLE
– –
0
– –
STEC
990
DELISTED
STEC INC COM STK
STEC
– –
-214
Closed -$1K
VNR
991
DELISTED
Vanguard Natural Resources, LLC
VNR
– –
-101
Closed -$3K
LNKD
992
DELISTED
LinkedIn Corporation
LNKD
– –
-175
Closed -$31K
KKD
993
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
$0 ﹤0.01%
25
– –
LNCO
994
DELISTED
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
– –
-408
Closed -$15K
FU
995
DELISTED
FAB UNIVERSAL CORP COM
FU
– –
-901
Closed -$3K
FRP
996
DELISTED
FAIRPOINT COMMUNICATIONS INC.
FRP
$0 ﹤0.01%
58
– –
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
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SFI
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MAM
Meeder Asset Management Dublin, Ohio $1.75B AUM 34.85% 1-Year Est. Return
DF
DNCA Finance Paris, France $1.75B AUM 38.18% 1-Year Est. Return
WJA
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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.