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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
ED icon
251
Consolidated Edison
ED
$41.4B
– –
-3,500
Closed -$204K
FTI icon
252
TechnipFMC
FTI
$30.4B
– –
-7,147
Closed -$296K
HYD icon
253
VanEck High Yield Muni ETF
HYD
$4.43B
– –
-9,266
Closed -$567K
LXRX icon
254
Lexicon Pharmaceuticals
LXRX
$1.01B
– –
-5,714
Closed -$87K
MRVL icon
255
Marvell Technology
MRVL
$185B
– –
-10,500
Closed -$123K
MU icon
256
Micron Technology
MU
$1.11T
– –
-27,000
Closed -$387K
MYI icon
257
BlackRock MuniYield Quality Fund III
MYI
$714M
– –
-79,130
Closed -$1.1M
NMZ icon
258
Nuveen Municipal High Income Opportunity Fund
NMZ
$2.21B
– –
-41,614
Closed -$528K
NOC icon
259
Northrop Grumman
NOC
$75.3B
– –
-2,488
Closed -$206K
SDS icon
260
ProShares UltraShort S&P500
SDS
$408M
– –
-76
Closed -$311K
TBF icon
261
ProShares Short 20+ Year Treasury ETF
TBF
$85.1M
– –
-107,341
Closed -$3.37M
TBT icon
262
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$294M
– –
-4,205
Closed -$305K
TFI icon
263
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.05B
– –
-24,968
Closed -$1.14M
JTD
264
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
– –
-17,888
Closed -$266K
TLGT
265
DELISTED
Teligent, Inc
TLGT
– –
-9,860
Closed -$141K
AWAY
266
DELISTED
HOMEAWAY INC COM
AWAY
– –
-10,000
Closed -$323K
LNCO
267
DELISTED
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
– –
-13,050
Closed -$486K
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.