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USCA RIA Portfolio holdings

AUM $1.65B
1-Year Est. Return 39.8%
This Fund
S&P 500
This Quarter Est. Return
+4.05%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$220M
AUM Growth
+$20.7M
Cap. Flow
+$15.6M
Cap. Flow %
7.1%
Top 10 Hldgs %
25.12%
Holding
267
New
33
Increased
113
Reduced
60
Closed
21

Top Buys

Rank Stock Value
1
NGL icon
NGL Energy Partners
NGL
+$1.49M
2
MUB icon
iShares National Muni Bond ETF
MUB
+$1.35M
3
EQM
EQM Midstream Partners, LP
EQM
+$1.17M
4
GPOR
Gulfport Energy Corp.
GPOR
+$1.11M
5
OHI icon
Omega Healthcare
OHI
+$768K

Top Sells

Rank Stock Value
1
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$3.37M
2
LINE
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
+$1.81M
3
TFI icon
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
+$1.14M
4
MYI icon
BlackRock MuniYield Quality Fund III
MYI
+$1.1M
5
SPA
Sparton
SPA
+$889K

Sector Composition

Rank Sector Weight
1 Energy 29.59%
2 Consumer Staples 10.35%
3 Financials 9.77%
4 Technology 8.12%
5 Healthcare 7.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RRMS
226
DELISTED
ROSE ROCK MIDSTREAM L P COM UNIT REPSTG LTD (DE)
RRMS
$208K 0.09%
+6,500
New +$224K
VE
227
DELISTED
VEOLIA ENVIRONNEMENT
VE
$207K 0.09%
12,100
+100
+0.8% +$1.46K
CPT icon
228
Camden Property Trust
CPT
$11.2B
$206K 0.09%
3,350
– –
HON icon
229
Honeywell
HON
$77.5B
$206K 0.09%
+2,754
New +$204K
ALU
230
DELISTED
Alcatel-Lucent
ALU
$203K 0.09%
59,883
-11,232
-16% -$28.7K
DIS icon
231
Walt Disney
DIS
$162B
$202K 0.09%
+3,131
New +$201K
GLRE icon
232
Greenlight Captial
GLRE
$538M
$202K 0.09%
+7,100
New +$192K
AMLP icon
233
Alerian MLP ETF
AMLP
$13B
$195K 0.09%
+2,222
New +$196K
SITC icon
234
SITE Centers
SITC
$221M
$189K 0.09%
9,313
– –
RMT
235
Royce Micro-Cap Trust
RMT
$744M
$174K 0.08%
+14,888
New +$170K
NLY icon
236
Annaly Capital Management
NLY
$16.7B
$164K 0.07%
3,545
-204
-5% -$9.6K
BREW
237
DELISTED
Craft Brew Alliance, Inc.
BREW
$155K 0.07%
11,500
– –
FAX
238
abrdn Asia-Pacific Income Fund
FAX
$595M
$118K 0.05%
3,254
+569
+21% +$20.8K
WEN icon
239
Wendy's
WEN
$1.37B
$117K 0.05%
13,800
-1,500
-10% -$11.2K
EROC
240
DELISTED
EAGLE ROCK ENERGY PARTNERS, L.P. COM UNITS RPTNG LTD PRTNR
EROC
$99K 0.05%
14,000
-28,000
-67% -$195K
FIG
241
DELISTED
Fortress Investment Group Llc
FIG
$95K 0.04%
+12,000
New +$90.2K
LUB
242
DELISTED
Luby's Inc.
LUB
$90K 0.04%
12,600
-3,000
-19% -$24.3K
FTR
243
DELISTED
Frontier Communications Corp.
FTR
$64K 0.03%
1,025
– –
QMCO icon
244
Quantum Corp
QMCO
$457M
$60K 0.03%
273
-1
-0.4% -$245
NES
245
DELISTED
NUVERRA ENVIRONMENTAL INC NEW COM STK (DE)
NES
$23K 0.01%
1,000
– –
TEUM
246
DELISTED
Pareteum Corporation
TEUM
$11K 0.01%
680
– –
AFB
247
AllianceBernstein National Municipal Income Fund
AFB
$314M
– –
-37,101
Closed -$499K
AGG icon
248
iShares Core US Aggregate Bond ETF
AGG
$137B
– –
-2,151
Closed -$231K
BND icon
249
Vanguard Total Bond Market
BND
$157B
– –
-2,838
Closed -$230K
CLMT icon
250
Calumet Specialty Products
CLMT
$3.72B
– –
-7,800
Closed -$284K
7 8 9
10
11

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GA
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NNP
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JJIJ
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BAWC
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RP
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PWA
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NIA
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USCA RIA's Q3 2013 Portfolio in Review

As of Q3 2013, USCA RIA held 267 positions worth $220M, up 10% from $199M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

USCA RIA deployed $15.6M of net new capital in Q3 2013, opening 33 new positions and adding to 113 existing holdings. Its largest new stake was NGL Energy Partners: 49,500 shares worth $1.53M.

By sector, the portfolio is most concentrated in Energy at 30% of assets, up from 29% a quarter earlier, followed by Consumer Staples and Financials.

On the sell side, the largest reduction was LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS, an estimated $1.81M trimmed.

  • USCA RIA's largest Q3 2013 buy was NGL Energy Partners: 49,500 shares worth $1.53M.
  • USCA RIA added most to EQM Midstream Partners, LP in Q3 2013, an estimated $1.17M increase.
  • USCA RIA's biggest Q3 2013 reduction was LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS, cutting an estimated $1.81M.
  • USCA RIA fully exited ProShares Short 20+ Year Treasury ETF in Q3 2013, selling an estimated $3.37M.
  • USCA RIA's ten largest holdings make up 25% of its $220M portfolio in Q3 2013.
  • USCA RIA opened 33 new positions and closed 21 in Q3 2013.
  • USCA RIA's portfolio value rose 10% quarter-over-quarter to $220M.

Based on USCA RIA's 13F filing for Q3 2013, filed 14 Nov 2013.