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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
TIME
1001
DELISTED
Time Inc.
TIME
$0 ﹤0.01%
2
– –
LVLT
1002
DELISTED
Level 3 Communications Inc
LVLT
$0 ﹤0.01%
4
– –
PLKI
1003
DELISTED
Popeyes Louisiana Kitchen, Inc.
PLKI
– –
-200
Closed -$9K
WPG
1004
DELISTED
Washington Prime Group Inc.
WPG
$0 ﹤0.01%
1
– –
ADT
1005
DELISTED
ADT Corp
ADT
$0 ﹤0.01%
8
-12
-60% -$425
REE
1006
DELISTED
RARE ELEMENT RES LTD
REE
$0 ﹤0.01%
100
– –
ALU
1007
DELISTED
Alcatel-Lucent
ALU
$0 ﹤0.01%
63
-101
-62% -$344
SD
1008
DELISTED
SANDRIDGE ENERGY, INC.
SD
$0 ﹤0.01%
100
– –
NLSN
1009
DELISTED
Nielsen Holdings plc
NLSN
– –
-911
Closed -$44K
MCP
1010
DELISTED
MOLYCORP INC COM STK
MCP
$0 ﹤0.01%
100
– –
CVD
1011
DELISTED
COVANCE INC.
CVD
– –
-350
Closed -$30K
COCO
1012
DELISTED
CORINTHIAN COLLEGES INC
COCO
$0 ﹤0.01%
260
– –
FST
1013
DELISTED
FOREST OIL CORPORATION
FST
$0 ﹤0.01%
200
– –
BKW
1014
DELISTED
BURGER KING WORLDWIDE
BKW
– –
-1,118
Closed -$30K
KOG
1015
DELISTED
KODIAK OIL & GAS CORP
KOG
– –
-25
Closed –
QCOR
1016
DELISTED
QUESTCOR PHARMA INC
QCOR
– –
-650
Closed -$60K
DB.RT
1017
DELISTED
DEUTSCHE BANK AG RT (EXP 06/24/14
DB.RT
– –
-872
Closed –
QTWW
1018
DELISTED
QUANTUM FUEL SYS TECHNOLOGIES WORLDWIDE INC COM STK (DE)
QTWW
$0 ﹤0.01%
4
– –
BTM
1019
DELISTED
OI S.A. SPON ADR REPSTG 3 PFD SHS (BRA)
BTM
$0 ﹤0.01%
312
– –
CHL
1020
DELISTED
China Mobile Limited
CHL
– –
-1,045
Closed -$51K
XIV
1021
DELISTED
VelocityShares Daily Inverse VIX Short Term ETN
XIV
– –
-525
Closed -$24K
KKD
1022
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
$0 ﹤0.01%
25
– –
WRES
1023
DELISTED
WARREN RESOURCES INC
WRES
– –
-409
Closed -$3K
ARP
1024
DELISTED
ATLAS RESOURCE PARTNERS L P COM UIT REPSTG LTD PTNRS
ARP
– –
-176
Closed -$4K
37 38 39 40
41

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CC
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VCM
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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 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.