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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
+2.48%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$604M
AUM Growth
+$8.45M
Cap. Flow
-$2.32M
Cap. Flow %
-0.38%
Top 10 Hldgs %
22.43%
Holding
403
New
39
Increased
149
Reduced
118
Closed
29

Top Buys

Rank Stock Value
1
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$34.2M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.8M
3
TGT icon
Target
TGT
+$2.96M
4
MCD icon
McDonald's
MCD
+$2.46M
5
CAH icon
Cardinal Health
CAH
+$2.26M

Top Sells

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$19.4M
2
TLH icon
iShares 10-20 Year Treasury Bond ETF
TLH
+$19.1M
3
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$7.64M
4
ABBV icon
AbbVie
ABBV
+$4.73M
5
QCOM icon
Qualcomm
QCOM
+$3.07M

Sector Composition

Rank Sector Weight
1 Technology 10.27%
2 Energy 9.72%
3 Financials 9.21%
4 Consumer Staples 8.44%
5 Industrials 8.37%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EEP
251
DELISTED
Enbridge Energy Partners
EEP
$481K 0.08%
18,909
– –
EZM icon
252
WisdomTree US MidCap Fund
EZM
$940M
$475K 0.08%
14,880
-750
-5% -$23.7K
NIQ
253
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$475K 0.08%
34,310
-1,500
-4% -$20.7K
ETP
254
DELISTED
Energy Transfer Partners, L.P.
ETP
$469K 0.08%
16,500
– –
AER icon
255
AerCap
AER
$24B
$462K 0.08%
12,000
– –
WCN
256
Waste Connections
WCN
$42.6B
$461K 0.08%
9,267
– –
GLRE icon
257
Greenlight Captial
GLRE
$537M
$458K 0.08%
22,400
+700
+3% +$14.3K
PHYS icon
258
Sprott Physical Gold
PHYS
$14.9B
$457K 0.08%
41,700
+31,000
+290% +$343K
MMM icon
259
3M
MMM
$88.9B
$456K 0.08%
3,093
+24
+0.8% +$3.58K
BAC icon
260
Bank of America
BAC
$432B
$453K 0.08%
28,955
+800
+3% +$11.9K
HTO
261
H2O America
HTO
$2.69B
$443K 0.07%
10,138
– –
FTNT icon
262
Fortinet
FTNT
$114B
$439K 0.07%
59,375
+16,750
+39% +$117K
NGD
263
DELISTED
New Gold Inc
NGD
$436K 0.07%
100,318
-1,370
-1% -$6.83K
MPC icon
264
Marathon Petroleum
MPC
$92.5B
$432K 0.07%
10,652
– –
MOS icon
265
The Mosaic Company
MOS
$7.28B
$428K 0.07%
17,490
+2,419
+16% +$66K
ULTA icon
266
Ulta Beauty
ULTA
$20.8B
$427K 0.07%
1,793
+833
+87% +$210K
HEDJ icon
267
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.84B
$424K 0.07%
15,766
-46,154
-75% -$1.22M
RITM icon
268
Rithm Capital
RITM
$5.09B
$424K 0.07%
30,700
– –
BPL
269
DELISTED
Buckeye Partners, L.P.
BPL
$424K 0.07%
5,915
+1,715
+41% +$122K
BNY
270
Bank of New York Mellon
BNY
$110B
$410K 0.07%
10,279
+2
+0% +$80
BTO
271
John Hancock Financial Opportunities Fund
BTO
$801M
$409K 0.07%
14,725
– –
INCO icon
272
Columbia India Consumer ETF
INCO
$225M
$409K 0.07%
11,300
+1,100
+11% +$38.9K
WWAV
273
DELISTED
The WhiteWave Foods Company
WWAV
$406K 0.07%
7,450
– –
UNP icon
274
Union Pacific
UNP
$174B
$398K 0.07%
4,086
+1
+0% +$94
PR
275
Permian Resources
PR
$17.9B
$396K 0.07%
+21,965
New +$269K
9 10
11
12 13

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GA
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NNP
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JJIJ
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PWA
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USCA RIA's Q3 2016 Portfolio in Review

As of Q3 2016, USCA RIA held 403 positions worth $604M, up 1.4% from $595M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

USCA RIA's Q3 2016 filing shows 39 new, 149 increased, 118 reduced and 29 closed positions. Its largest new stake was US Bancorp: 48,412 shares worth $2.08M. The largest sale was iShares 20+ Year Treasury Bond ETF, an estimated $19.4M.

By sector, the portfolio is most concentrated in Technology at 10% of assets, up from 10% a quarter earlier, followed by Energy and Financials.

  • USCA RIA's largest Q3 2016 buy was US Bancorp: 48,412 shares worth $2.08M.
  • USCA RIA added most to iShares 1-5 Year Investment Grade Corporate Bond ETF in Q3 2016, an estimated $34.2M increase.
  • USCA RIA's biggest Q3 2016 reduction was iShares 20+ Year Treasury Bond ETF, cutting an estimated $19.4M.
  • USCA RIA fully exited iShares 10-20 Year Treasury Bond ETF in Q3 2016, selling an estimated $19.1M.
  • USCA RIA's ten largest holdings make up 22% of its $604M portfolio in Q3 2016.
  • USCA RIA opened 39 new positions and closed 29 in Q3 2016.
  • USCA RIA's portfolio value rose 1.4% quarter-over-quarter to $604M.

Based on USCA RIA's 13F filing for Q3 2016, filed 15 Nov 2016.