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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
ALU
301
DELISTED
Alcatel-Lucent
ALU
$205K 0.06%
57,746
-534
-0.9% -$1.67K
EAD
302
Allspring Income Opportunities Fund
EAD
$376M
$204K 0.06%
+23,000
New +$205K
ILMN icon
303
Illumina
ILMN
$28.9B
$203K 0.06%
+1,131
New +$199K
HK
304
DELISTED
Halcon Resources Corporation
HK
$203K 0.06%
662
+583
+738% +$270K
TROX icon
305
Tronox
TROX
$1.06B
$202K 0.06%
8,457
-3,296
-28% -$76.4K
CXO
306
DELISTED
CONCHO RESOURCES INC.
CXO
$201K 0.06%
2,019
-3,850
-66% -$404K
MEMP
307
DELISTED
Memorial Production Partners LP Common Units
MEMP
$197K 0.05%
+13,500
New +$232K
LMRK
308
DELISTED
Landmark Infrastructure Partners LP Common Units
LMRK
$184K 0.05%
+10,900
New +$202K
ETX
309
Eaton Vance Municipal Income 2028 Term Trust
ETX
$204M
$175K 0.05%
+10,000
New +$176K
SCU
310
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$175K 0.05%
1,500
-300
-17% -$33.9K
RMT
311
Royce Micro-Cap Trust
RMT
$748M
$172K 0.05%
17,056
– –
ASG
312
Liberty All-Star Growth Fund
ASG
$328M
$171K 0.05%
33,135
+9,688
+41% +$49.3K
BREW
313
DELISTED
Craft Brew Alliance, Inc.
BREW
$153K 0.04%
11,500
– –
VMO icon
314
Invesco Municipal Opportunity Trust
VMO
$653M
$151K 0.04%
11,711
– –
MHN
315
DELISTED
BlackRock MuniHoldings New Yrok Quality Fund
MHN
$140K 0.04%
10,000
– –
MHF
316
Western Asset Municipal High Income Fund
MHF
$153M
$127K 0.04%
16,552
– –
LGCY
317
DELISTED
Legacy Reserves Inc. Common Stock
LGCY
$126K 0.03%
+11,000
New +$210K
PMM
318
Franklin Managed Municipal Income Trust
PMM
$277M
$104K 0.03%
14,381
– –
WEN icon
319
Wendy's
WEN
$1.41B
$102K 0.03%
11,300
– –
ABEV icon
320
Ambev
ABEV
$48.5B
$70K 0.02%
11,260
+10
+0.1% +$63
QMCO icon
321
Quantum Corp
QMCO
$459M
$69K 0.02%
244
– –
GST
322
DELISTED
Gastar Exploration Inc.
GST
$46K 0.01%
19,000
+2,000
+12% +$7.29K
TGB
323
Trekor Metals
TGB
$2.77B
$26K 0.01%
+25,000
New +$32.7K
HERO
324
DELISTED
HERCULES OFFSHORE INC COM STK
HERO
$21K 0.01%
21,367
+6,000
+39% +$8.78K
TEUM
325
DELISTED
Pareteum Corporation
TEUM
$14K ﹤0.01%
680
– –
11 12
13
14 15

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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.