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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
PG icon
101
Procter & Gamble
PG
$342B
$603K 0.35%
7,973
-10
-0.1% -$796
UPS icon
102
United Parcel Service
UPS
$87.8B
$582K 0.34%
6,374
-1,000
-14% -$87.9K
SCZ icon
103
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.6B
$569K 0.33%
11,737
+297
+3% +$13.6K
FDL icon
104
First Trust Morningstar Dividend Leaders Index Fund
FDL
$7.77B
$538K 0.31%
25,795
-3,159
-11% -$66.7K
O icon
105
Realty Income
O
$59B
$525K 0.31%
13,628
-1,604
-11% -$65K
CAT icon
106
Caterpillar
CAT
$394B
$524K 0.31%
6,282
+419
+7% +$35.4K
PEP icon
107
PepsiCo
PEP
$189B
$506K 0.3%
6,367
-1,004
-14% -$82.5K
QQQ icon
108
Invesco QQQ Trust
QQQ
$479B
$492K 0.29%
6,233
-101
-2% -$7.69K
MDY icon
109
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.9B
$479K 0.28%
2,118
+3
+0.1% +$667
ADP icon
110
Automatic Data Processing
ADP
$109B
$474K 0.28%
7,408
+621
+9% +$39.5K
BKLN icon
111
Invesco Senior Loan ETF
BKLN
$6.81B
$472K 0.28%
19,124
+10,070
+111% +$250K
NS
112
DELISTED
NuStar Energy L.P.
NS
$465K 0.27%
11,604
+5,710
+97% +$242K
IEP icon
113
Icahn Enterprises
IEP
$5.42B
$441K 0.26%
5,300
– –
EMLP icon
114
First Trust North American Energy Infrastructure Fund
EMLP
$4.1B
$429K 0.25%
18,779
+15,065
+406% +$351K
USRT icon
115
iShares Core US REIT ETF
USRT
$4.6B
$428K 0.25%
11,005
-4,457
-29% -$178K
AFL icon
116
Aflac
AFL
$64.5B
$422K 0.25%
13,600
+856
+7% +$25.8K
DOC icon
117
Healthpeak Properties
DOC
$14.5B
$414K 0.24%
11,090
+2,306
+26% +$89.9K
VER
118
DELISTED
VEREIT, Inc.
VER
$406K 0.24%
6,648
-2,793
-30% -$190K
EFG icon
119
iShares MSCI EAFE Growth ETF
EFG
$17B
$379K 0.22%
5,564
-3,319
-37% -$218K
SCHZ icon
120
Schwab US Aggregate Bond ETF
SCHZ
$10.5B
$379K 0.22%
14,928
+14,926
+746,300% +$376K
SDY icon
121
State Street SPDR S&P Dividend ETF
SDY
$23.7B
$361K 0.21%
5,234
-1,196
-19% -$82.5K
DUK icon
122
Duke Energy
DUK
$96.6B
$355K 0.21%
5,311
-667
-11% -$45.5K
XLI icon
123
State Street Industrial Select Sector SPDR ETF
XLI
$33.6B
$355K 0.21%
7,656
+6,793
+787% +$307K
SO icon
124
Southern Company
SO
$107B
$347K 0.2%
8,433
+349
+4% +$15K
MMM icon
125
3M
MMM
$93.2B
$342K 0.2%
3,429
-147
-4% -$14.3K
3 4
5
6 7

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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
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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.