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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
+6.85%
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
$556M
AUM Growth
+$43.5M
Cap. Flow
+$11M
Cap. Flow %
1.98%
Top 10 Hldgs %
20.2%
Holding
361
New
43
Increased
151
Reduced
131
Closed
17

Top Buys

Rank Stock Value
1
XOM icon
ExxonMobil
XOM
+$2.03M
2
PFE icon
Pfizer
PFE
+$1.96M
3
PJAN icon
Innovator US Equity Power Buffer ETF January
PJAN
+$1.23M
4
OUSA icon
ALPS O'Shares U.S. Quality Dividend ETF
OUSA
+$746K
5
YYY icon
Amplify CEF High Income ETF
YYY
+$658K

Top Sells

Rank Stock Value
1
CAH icon
Cardinal Health
CAH
+$1.74M
2
PARA
Paramount Global Class B
PARA
+$1.52M
3
BOCT icon
Innovator US Equity Buffer ETF October
BOCT
+$1.28M
4
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$886K
5
RSPU icon
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
+$634K

Sector Composition

Rank Sector Weight
1 Healthcare 8.38%
2 Technology 7.43%
3 Consumer Staples 6.43%
4 Industrials 4.63%
5 Utilities 3.71%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XLV icon
201
State Street Health Care Select Sector SPDR ETF
XLV
$42.7B
$470K 0.08%
4,613
-55
-1% -$5.29K
PCEF icon
202
Invesco CEF Income Composite ETF
PCEF
$814M
$468K 0.08%
20,060
-3,791
-16% -$86.4K
MORT icon
203
VanEck Mortgage REIT Income ETF
MORT
$385M
$467K 0.08%
19,458
-3,811
-16% -$89.9K
NKE icon
204
Nike
NKE
$61.9B
$467K 0.08%
4,609
-417
-8% -$39.3K
IJUL icon
205
Innovator International Developed Power Buffer ETF July
IJUL
$254M
$457K 0.08%
+19,257
New +$451K
FEX icon
206
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.61B
$455K 0.08%
6,981
+2
+0% +$125
VEU icon
207
Vanguard FTSE All-World ex-US ETF
VEU
$68.5B
$454K 0.08%
+8,443
New +$439K
IGSB icon
208
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$452K 0.08%
8,426
+2,577
+44% +$138K
IYH icon
209
iShares US Healthcare ETF
IYH
$3.54B
$447K 0.08%
10,365
– –
XLF icon
210
State Street Financial Select Sector SPDR ETF
XLF
$58.2B
$442K 0.08%
14,355
+2,201
+18% +$64.6K
ABT icon
211
Abbott
ABT
$187B
$438K 0.08%
5,042
+231
+5% +$19.3K
FXD icon
212
First Trust Consumer Discretionary AlphaDEX Fund
FXD
$276M
$435K 0.08%
9,600
– –
EWJ icon
213
iShares MSCI Japan ETF
EWJ
$23B
$432K 0.08%
+7,289
New +$430K
K
214
DELISTED
Kellanova
K
$430K 0.08%
6,624
+467
+8% +$28.3K
VCSH icon
215
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$421K 0.08%
+5,199
New +$421K
IJS icon
216
iShares S&P Small-Cap 600 Value ETF
IJS
$8.34B
$420K 0.08%
5,224
+428
+9% +$33.2K
EMLP icon
217
First Trust North American Energy Infrastructure Fund
EMLP
$4.08B
$419K 0.08%
16,425
+250
+2% +$6.22K
TSLA icon
218
CALL
Tesla
TSLA
$1.3T
$418K 0.08%
15,000
– –
IEF icon
219
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
$417K 0.08%
+3,782
New +$422K
DMO
220
Western Asset Mortgage Opportunity Fund
DMO
$120M
$416K 0.07%
20,486
+5,196
+34% +$110K
SPHD icon
221
Invesco S&P 500 High Dividend Low Volatility ETF
SPHD
$3.38B
$404K 0.07%
9,164
+553
+6% +$23.7K
ACWI icon
222
iShares MSCI ACWI ETF
ACWI
$33.5B
$400K 0.07%
5,043
-247
-5% -$18.9K
SBUX icon
223
Starbucks
SBUX
$120B
$393K 0.07%
4,472
+1,446
+48% +$123K
KBWD icon
224
Invesco KBW High Dividend Yield Financial ETF
KBWD
$428M
$390K 0.07%
17,795
-4,276
-19% -$91.2K
PCI
225
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$386K 0.07%
15,301
+253
+2% +$6.35K
7 8
9
10 11

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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
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 Q4 2019 Portfolio in Review

As of Q4 2019, Regal Investment Advisors held 361 positions worth $556M, up 8.5% from $512M the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Regal Investment Advisors's Q4 2019 filing shows 43 new, 151 increased, 131 reduced and 17 closed positions. Its largest new stake was Innovator US Equity Power Buffer ETF January: 43,880 shares worth $1.25M. The largest sale was Cardinal Health, an estimated $1.74M.

By sector, the portfolio is most concentrated in Healthcare at 8.4% of assets, up from 8.1% a quarter earlier, followed by Technology and Consumer Staples.

  • Regal Investment Advisors's largest Q4 2019 buy was Innovator US Equity Power Buffer ETF January: 43,880 shares worth $1.25M.
  • Regal Investment Advisors added most to ExxonMobil in Q4 2019, an estimated $2.03M increase.
  • Regal Investment Advisors's biggest Q4 2019 reduction was Sysco, cutting an estimated $618K.
  • Regal Investment Advisors fully exited Cardinal Health in Q4 2019, selling an estimated $1.74M.
  • Regal Investment Advisors's ten largest holdings make up 20% of its $556M portfolio in Q4 2019.
  • Regal Investment Advisors opened 43 new positions and closed 17 in Q4 2019.
  • Regal Investment Advisors's portfolio value rose 8.5% quarter-over-quarter to $556M.

Based on Regal Investment Advisors's 13F filing for Q4 2019, filed 29 Jan 2020.