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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
USAP
976
DELISTED
Universal Stainless & Alloy
USAP
– –
-15
Closed –
ORAN
977
DELISTED
Orange
ORAN
– –
-13
Closed –
FSD
978
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
– –
-2,511
Closed -$44K
ERF
979
DELISTED
Enerplus Corporation
ERF
– –
-202
Closed -$3K
AAIC
980
DELISTED
Arlington Asset Investment Corp.
AAIC
– –
-1
Closed –
CEQP
981
DELISTED
Crestwood Equity Partners LP
CEQP
– –
-680
Closed -$94K
NSL
982
DELISTED
NUVEEN SENIOR INCM FD
NSL
– –
-641
Closed -$5K
TA
983
DELISTED
TravelCenters of America LLC
TA
– –
-2
Closed –
RJA
984
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Agriculture Total Return
RJA
– –
-208
Closed -$2K
ANAT
985
DELISTED
American National Group, Inc. Common Stock
ANAT
– –
-100
Closed -$10K
CTB
986
DELISTED
Cooper Tire & Rubber Co.
CTB
– –
-640
Closed -$20K
MEN
987
DELISTED
Blackrock Muni Enhanced Fund, Inc.
MEN
– –
-3,347
Closed -$36K
TCP
988
DELISTED
TC Pipelines LP
TCP
– –
-202
Closed -$10K
MNK
989
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
5
– –
SDRL
990
DELISTED
Seadrill Limited Common Stock
SDRL
– –
0
– -$2K
AKS
991
DELISTED
AK Steel Holding Corp
AKS
– –
-2,445
Closed -$9K
FGP
992
DELISTED
Ferrellgas Partners, L.P.
FGP
– –
-537
Closed -$12K
ASNA
993
DELISTED
Ascena Retail Group, Inc.
ASNA
– –
-1
Closed -$1K
MBTF
994
DELISTED
MBT Financial Corporation
MBTF
– –
-5,308
Closed -$20K
DATA
995
DELISTED
Tableau Software, Inc.
DATA
– –
-100
Closed -$7K
TFCFA
996
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
– –
-6
Closed –
SCG
997
DELISTED
Scana
SCG
– –
-521
Closed -$24K
SVU
998
DELISTED
SUPERVALU Inc.
SVU
– –
-10
Closed -$1K
XRM
999
DELISTED
Xerium Technologies Inc (new)
XRM
– –
-161
Closed -$2K
AGC
1000
DELISTED
Advent Claymore Conv Sec & Incme
AGC
$0 ﹤0.01%
+5
New +$36
38 39
40
41 42

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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
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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.