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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
+4.02%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.79%
10 Year Est. Return
–
AUM
$773M
AUM Growth
-$7.75M
Cap. Flow
-$7.99M
Cap. Flow %
-1.03%
Top 10 Hldgs %
16.71%
Holding
411
New
–
Increased
–
Reduced
2
Closed
6

Top Buys

No buys this quarter

Top Sells

Rank Stock Value
1
DD icon
DuPont de Nemours
DD
+$6.23M
2
IBMF
iShares iBonds Sep 2017 Term Muni Bond ETF
IBMF
+$395K
3
WFM
Whole Foods Market Inc
WFM
+$375K
4
OKS
Oneok Partners LP
OKS
+$293K
5
DD
Du Pont De Nemours E I
DD
+$247K

Sector Composition

Rank Sector Weight
1 Miscellaneous 21.73%
2 Financials 12.75%
3 Technology 11.36%
4 Healthcare 10.7%
5 Energy 9.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TMO icon
226
Thermo Fisher Scientific
TMO
$227B
$715K 0.09%
4,100
– –
SCHW
227
Charles Schwab
SCHW
$189B
$712K 0.09%
16,578
– –
BHK icon
228
BlackRock Core Bond Trust
BHK
$646M
$707K 0.09%
50,965
– –
DVA icon
229
DaVita
DVA
$11.7B
$700K 0.09%
10,810
– –
FTNT icon
230
Fortinet
FTNT
$115B
$700K 0.09%
93,500
– –
NVDA icon
231
NVIDIA
NVDA
$5.56T
$694K 0.09%
192,120
– –
NWN icon
232
Northwest Natural Holdings
NWN
$2.07B
$688K 0.09%
11,500
– –
XLE icon
233
State Street Energy Select Sector SPDR ETF
XLE
$41.7B
$684K 0.09%
21,078
– –
FDN icon
234
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.38B
$674K 0.09%
7,109
– –
VCSH icon
235
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.8B
$672K 0.09%
8,391
– –
SBR
236
Sabine Royalty Trust
SBR
$1.09B
$667K 0.09%
17,200
– –
KYN icon
237
Kayne Anderson Energy Infrastructure Fund
KYN
$2.5B
$658K 0.09%
34,900
– –
POT
238
DELISTED
Potash Corp Of Saskatchewan
POT
$656K 0.08%
40,269
– –
TELL
239
DELISTED
Tellurian Inc.
TELL
$655K 0.08%
65,340
– –
EFV icon
240
iShares MSCI EAFE Value ETF
EFV
$32.2B
$651K 0.08%
12,599
– –
FDC
241
DELISTED
First Data Corporation
FDC
$644K 0.08%
35,398
– –
IAT icon
242
iShares US Regional Banks ETF
IAT
$662M
$630K 0.08%
13,830
– –
NFLX icon
243
Netflix
NFLX
$326B
$630K 0.08%
42,170
– –
LOW icon
244
Lowe's Companies
LOW
$115B
$628K 0.08%
8,095
– –
VGI
245
Virtus Global Multi-Sector Income Fund
VGI
$82.8M
$626K 0.08%
36,605
– –
GPOR
246
DELISTED
Gulfport Energy Corp.
GPOR
$624K 0.08%
42,300
– –
LLY icon
247
Eli Lilly
LLY
$1.02T
$621K 0.08%
7,541
– –
FBIN icon
248
Fortune Brands Innovations
FBIN
$5.15B
$620K 0.08%
11,115
– –
COP icon
249
ConocoPhillips
COP
$161B
$619K 0.08%
14,083
– –
VGK icon
250
Vanguard FTSE Europe ETF
VGK
$30.8B
$618K 0.08%
11,206
– –
8 9
10
11 12

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A
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GA
Greenspring Associates Owings Mills, Maryland $1.48B AUM 61.93% 1-Year Est. Return
NNP
Nachman Norwood & Parrott Greenville, South Carolina $984M AUM 33.8% 1-Year Est. Return
JJIJ
Johnson & Johnson Innovation - JJDC New Brunswick, New Jersey $978M AUM 102.17% 1-Year Est. Return
BAWC
Black-and-white Capital Los Angeles, California $967M AUM 94.03% 1-Year Est. Return
RP
RR Partners New York $929M AUM 110.28% 1-Year Est. Return
PWA
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NIA
Northstar Investment Advisors Denver, Colorado $755M AUM 37.8% 1-Year Est. Return

USCA RIA's Q3 2017 Portfolio in Review

As of Q3 2017, USCA RIA held 411 positions worth $773M, down 0.99% from $781M the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Trading was light in Q3 2017: portfolio turnover was 1.5%. USCA RIA opened no new positions and exited 6, leaving the 411-position portfolio largely intact.

By sector, the portfolio is most concentrated in Miscellaneous at 22% of assets, up from 22% a quarter earlier, followed by Financials and Technology.

  • USCA RIA's biggest Q3 2017 reduction was MetLife, cutting an estimated $197K.
  • USCA RIA fully exited DuPont de Nemours in Q3 2017, selling an estimated $6.23M.
  • USCA RIA's ten largest holdings make up 17% of its $773M portfolio in Q3 2017.
  • USCA RIA opened 0 new positions and closed 6 in Q3 2017.
  • USCA RIA's portfolio value fell 0.99% quarter-over-quarter to $773M.

Based on USCA RIA's 13F filing for Q3 2017, filed 7 Nov 2017.