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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
+2.01%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$362M
AUM Growth
+$33.9M
Cap. Flow
+$33.9M
Cap. Flow %
9.36%
Top 10 Hldgs %
21.12%
Holding
376
New
52
Increased
131
Reduced
99
Closed
51

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$10.1M
2
IWS icon
iShares Russell Mid-Cap Value ETF
IWS
+$6.49M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.7M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$3.77M
5
KMI icon
Kinder Morgan
KMI
+$3.24M

Top Sells

Rank Stock Value
1
KMP
KINDER MORGAN ENER PNTRS L.P.
KMP
+$3.25M
2
STX icon
Seagate
STX
+$1.66M
3
DUK icon
Duke Energy
DUK
+$1.15M
4
SNA icon
Snap-on
SNA
+$985K
5
CTWS
Connecticut Water Service Inc
CTWS
+$972K

Sector Composition

Rank Sector Weight
1 Energy 20.06%
2 Industrials 8.65%
3 Technology 8.4%
4 Financials 7.87%
5 Consumer Staples 7.71%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CL icon
276
Colgate-Palmolive
CL
$72B
$243K 0.07%
3,515
+301
+9% +$20.3K
ET icon
277
Energy Transfer Partners
ET
$70.2B
$243K 0.07%
8,486
– –
AKAM icon
278
Akamai
AKAM
$17.6B
$242K 0.07%
3,850
– –
NEE icon
279
NextEra Energy
NEE
$188B
$242K 0.07%
9,124
-564
-6% -$14.2K
EFF
280
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
$242K 0.07%
+15,000
New +$253K
SHV icon
281
iShares 0-1 Year Treasury Bond ETF
SHV
$20.7B
$241K 0.07%
2,182
-5,991
-73% -$661K
TRND
282
DELISTED
ROYAL BK SCOTLAND PLC RBS US LARGE CAP TRENDPILOT ETNS
TRND
$238K 0.07%
5,998
-3,948
-40% -$153K
WFM
283
DELISTED
Whole Foods Market Inc
WFM
$236K 0.07%
4,688
-2,850
-38% -$126K
IWR icon
284
iShares Russell Mid-Cap ETF
IWR
$56.4B
$234K 0.06%
5,604
+428
+8% +$17.4K
ED icon
285
Consolidated Edison
ED
$41.4B
$231K 0.06%
+3,500
New +$220K
LLY icon
286
Eli Lilly
LLY
$1.06T
$229K 0.06%
+3,315
New +$224K
DEO icon
287
Diageo
DEO
$45.5B
$227K 0.06%
1,991
+247
+14% +$28.7K
OLP
288
One Liberty Properties
OLP
$546M
$227K 0.06%
+9,581
New +$216K
TRV icon
289
Travelers Companies
TRV
$78.9B
$226K 0.06%
+2,136
New +$216K
ESV
290
DELISTED
Ensco Rowan plc
ESV
$222K 0.06%
1,850
-530
-22% -$76K
TGNA
291
DELISTED
TEGNA Inc
TGNA
$217K 0.06%
12,999
– –
TTP
292
DELISTED
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
$215K 0.06%
1,750
– –
TCP
293
DELISTED
TC Pipelines LP
TCP
$214K 0.06%
+3,000
New +$206K
CPN
294
DELISTED
Calpine Corporation
CPN
$214K 0.06%
+9,655
New +$214K
CNP icon
295
CenterPoint Energy
CNP
$28.8B
$212K 0.06%
9,034
+405
+5% +$9.67K
VGSH icon
296
Vanguard Short-Term Treasury ETF
VGSH
$29.2B
$212K 0.06%
3,485
– –
RKUS
297
DELISTED
RUCKUS WIRELESS INC COM STK (DE)
RKUS
$211K 0.06%
+17,550
New +$212K
MU icon
298
Micron Technology
MU
$1.12T
$210K 0.06%
6,000
– –
BHI
299
DELISTED
Baker Hughes
BHI
$207K 0.06%
+3,700
New +$209K
NOC icon
300
Northrop Grumman
NOC
$76.5B
$206K 0.06%
+1,395
New +$191K
10 11
12
13 14

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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 Q4 2014 Portfolio in Review

As of Q4 2014, USCA RIA held 376 positions worth $362M, up 10% from $328M the previous quarter. Its ten largest holdings account for 21% of the portfolio.

USCA RIA deployed $33.9M of net new capital in Q4 2014, opening 52 new positions and adding to 131 existing holdings. Its largest new stake was iShares Russell Mid-Cap Value ETF: 90,311 shares worth $6.66M.

By sector, the portfolio is most concentrated in Energy at 20% of assets, down from 27% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Seagate, an estimated $1.66M trimmed.

  • USCA RIA's largest Q4 2014 buy was iShares Russell Mid-Cap Value ETF: 90,311 shares worth $6.66M.
  • USCA RIA added most to iShares iBoxx $ Investment Grade Corporate Bond ETF in Q4 2014, an estimated $10.1M increase.
  • USCA RIA's biggest Q4 2014 reduction was Seagate, cutting an estimated $1.66M.
  • USCA RIA fully exited KINDER MORGAN ENER PNTRS L.P. in Q4 2014, selling an estimated $3.25M.
  • USCA RIA's ten largest holdings make up 21% of its $362M portfolio in Q4 2014.
  • USCA RIA opened 52 new positions and closed 51 in Q4 2014.
  • USCA RIA's portfolio value rose 10% quarter-over-quarter to $362M.

Based on USCA RIA's 13F filing for Q4 2014, filed 11 Feb 2015.