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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
-0.36%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$328M
AUM Growth
+$29.9M
Cap. Flow
+$33.8M
Cap. Flow %
10.29%
Top 10 Hldgs %
20.85%
Holding
352
New
62
Increased
161
Reduced
67
Closed
28

Top Buys

Rank Stock Value
1
TGT icon
Target
TGT
+$2.15M
2
OXY icon
Occidental Petroleum
OXY
+$1.71M
3
COP icon
ConocoPhillips
COP
+$1.66M
4
EXC icon
Exelon
EXC
+$1.58M
5
CSCO icon
Cisco
CSCO
+$1.39M

Top Sells

Rank Stock Value
1
INTC icon
Intel
INTC
+$2.14M
2
MSFT icon
Microsoft
MSFT
+$1.29M
3
LLY icon
Eli Lilly
LLY
+$1.2M
4
HBI
Hanesbrands
HBI
+$1.15M
5
WBA
Walgreens Boots Alliance
WBA
+$1.1M

Sector Composition

Rank Sector Weight
1 Energy 26.88%
2 Industrials 9.16%
3 Technology 8.86%
4 Consumer Staples 8.22%
5 Financials 8.14%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SCU
301
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$193K 0.06%
1,800
-1,150
-39% -$147K
DPO
302
DELISTED
DOW ENHANCED PREMIUM & INCOME FUND, INC COM
DPO
$193K 0.06%
+14,465
New +$196K
RVT icon
303
Royce Value Trust
RVT
$2.21B
$185K 0.06%
+12,779
New +$198K
LRE
304
DELISTED
LRR ENERGY LP
LRE
$179K 0.05%
10,000
– –
ALU
305
DELISTED
Alcatel-Lucent
ALU
$177K 0.05%
58,280
+1,000
+2% +$3.41K
ARCC icon
306
Ares Capital
ARCC
$13.5B
$172K 0.05%
+10,668
New +$180K
JTD
307
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
$170K 0.05%
+11,012
New +$178K
BREW
308
DELISTED
Craft Brew Alliance, Inc.
BREW
$166K 0.05%
11,500
– –
VMO icon
309
Invesco Municipal Opportunity Trust
VMO
$653M
$147K 0.04%
11,711
– –
WATT icon
310
Energous
WATT
$84.8M
$144K 0.04%
21
– –
HYT icon
311
BlackRock Corporate High Yield Fund
HYT
$1.37B
$142K 0.04%
12,015
+59
+0.5% +$710
MHN
312
DELISTED
BlackRock MuniHoldings New Yrok Quality Fund
MHN
$134K 0.04%
+10,000
New +$135K
ASG
313
Liberty All-Star Growth Fund
ASG
$328M
$120K 0.04%
+23,447
New +$123K
MHF
314
Western Asset Municipal High Income Fund
MHF
$153M
$120K 0.04%
16,552
– –
PMM
315
Franklin Managed Municipal Income Trust
PMM
$277M
$102K 0.03%
14,381
– –
GST
316
DELISTED
Gastar Exploration Inc.
GST
$100K 0.03%
+17,000
New +$125K
WEN icon
317
Wendy's
WEN
$1.41B
$93K 0.03%
11,300
-1,000
-8% -$8.2K
ABEV icon
318
Ambev
ABEV
$48.5B
$74K 0.02%
11,250
– –
LUB
319
DELISTED
Luby's Inc.
LUB
$56K 0.02%
10,600
-500
-5% -$2.63K
HK
320
DELISTED
Halcon Resources Corporation
HK
$54K 0.02%
79
-11
-12% -$10.7K
QMCO icon
321
Quantum Corp
QMCO
$459M
$45K 0.01%
244
-35
-13% -$6.95K
HERO
322
DELISTED
HERCULES OFFSHORE INC COM STK
HERO
$34K 0.01%
15,367
– –
NG icon
323
NovaGold Resources
NG
$2.72B
$31K 0.01%
+10,223
New +$38.3K
TEUM
324
DELISTED
Pareteum Corporation
TEUM
$18K 0.01%
680
– –
BBWI icon
325
Bath & Body Works
BBWI
$4.04B
– –
-11,999
Closed -$569K
11 12
13
14 15

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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 2014 Portfolio in Review

As of Q3 2014, USCA RIA held 352 positions worth $328M, up 10% from $298M the previous quarter. Its ten largest holdings account for 21% of the portfolio.

USCA RIA deployed $33.8M of net new capital in Q3 2014, opening 62 new positions and adding to 161 existing holdings. Its largest new stake was Lowe's Companies: 23,766 shares worth $1.26M.

By sector, the portfolio is most concentrated in Energy at 27% of assets, down from 28% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Intel, an estimated $2.14M trimmed.

  • USCA RIA's largest Q3 2014 buy was Lowe's Companies: 23,766 shares worth $1.26M.
  • USCA RIA added most to Target in Q3 2014, an estimated $2.15M increase.
  • USCA RIA's biggest Q3 2014 reduction was Intel, cutting an estimated $2.14M.
  • USCA RIA fully exited Eli Lilly in Q3 2014, selling an estimated $1.2M.
  • USCA RIA's ten largest holdings make up 21% of its $328M portfolio in Q3 2014.
  • USCA RIA opened 62 new positions and closed 28 in Q3 2014.
  • USCA RIA's portfolio value rose 10% quarter-over-quarter to $328M.

Based on USCA RIA's 13F filing for Q3 2014, filed 14 Nov 2014.