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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
SRI icon
976
Stoneridge
SRI
$213M
– –
-200
Closed -$2K
STX icon
977
Seagate
STX
$184B
– –
-500
Closed -$28K
SVXY icon
978
ProShares Short VIX Short-Term Futures ETF
SVXY
$206M
– –
-75
Closed -$7K
TEI
979
Templeton Emerging Markets Income Fund
TEI
$321M
– –
-585
Closed -$8K
TIMB icon
980
TIM SA
TIMB
$8.8B
$0 ﹤0.01%
5
– –
TSM icon
981
TSMC
TSM
$2.18T
– –
-222
Closed -$5K
UIS icon
982
Unisys
UIS
$217M
$0 ﹤0.01%
20
-12
-38% -$276
UNH icon
983
UnitedHealth
UNH
$370B
– –
-38
Closed -$3K
WLK icon
984
Westlake Corp
WLK
$9.9B
– –
-587
Closed -$49K
NBIS
985
Nebius Group N.V.
NBIS
$47.7B
– –
-787
Closed -$28K
JBTM
986
JBT Marel
JBTM
$6.39B
– –
-172
Closed -$5K
CDMO
987
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$0 ﹤0.01%
14
– –
CLR
988
DELISTED
CONTINENTAL RESOURCES INC.
CLR
– –
-476
Closed -$38K
DRE
989
DELISTED
Duke Realty Corp.
DRE
– –
-1,067
Closed -$19K
LUB
990
DELISTED
Luby's Inc.
LUB
– –
-130
Closed -$1K
NUM
991
DELISTED
Nuveen Michigan Quality Municipal Income Fund
NUM
– –
-18,054
Closed -$261K
BITA
992
DELISTED
Bitauto Holdings Limited
BITA
– –
-307
Closed -$15K
ZIV
993
DELISTED
VelocityShares Daily Inverse VIX Medium Term ETN
ZIV
– –
-575
Closed -$27K
AKRX
994
DELISTED
Akorn Inc
AKRX
– –
-1,013
Closed -$34K
PKD
995
DELISTED
Parker Drilling Company
PKD
$0 ﹤0.01%
+2
New +$184
INSY
996
DELISTED
Insys Therapeutics, Inc.
INSY
– –
-360
Closed -$6K
TFCFA
997
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$0 ﹤0.01%
6
– –
ECYT
998
DELISTED
Endocyte, Inc. Common Stock
ECYT
$0 ﹤0.01%
60
– –
JASO
999
DELISTED
JA Solar Holdings, Co., Ltd
JASO
$0 ﹤0.01%
40
– –
CBI
1000
DELISTED
Chicago Bridge & Iron Nv
CBI
– –
-200
Closed -$14K
37 38 39
40
41

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PAIM
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CC
Commodore Capital New York $1.73B AUM 298.96% 1-Year Est. Return
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.