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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
+4.02%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.79%
10 Year Est. Return
–
AUM
$773M
AUM Growth
-$7.75M
Cap. Flow
-$7.99M
Cap. Flow %
-1.03%
Top 10 Hldgs %
16.71%
Holding
411
New
–
Increased
–
Reduced
2
Closed
6

Top Buys

No buys this quarter

Top Sells

Rank Stock Value
1
DD icon
DuPont de Nemours
DD
+$6.23M
2
IBMF
iShares iBonds Sep 2017 Term Muni Bond ETF
IBMF
+$395K
3
WFM
Whole Foods Market Inc
WFM
+$375K
4
OKS
Oneok Partners LP
OKS
+$293K
5
DD
Du Pont De Nemours E I
DD
+$247K

Sector Composition

Rank Sector Weight
1 Miscellaneous 21.73%
2 Financials 12.75%
3 Technology 11.36%
4 Healthcare 10.7%
5 Energy 9.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HEDJ icon
301
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.83B
$440K 0.06%
14,134
– –
AVB
302
DELISTED
AvalonBay Communities
AVB
$436K 0.06%
2,270
– –
VUG icon
303
Vanguard Morningstar Growth ETF
VUG
$228B
$436K 0.06%
20,574
– –
NKE icon
304
Nike
NKE
$57B
$434K 0.06%
7,353
– –
AKAM icon
305
Akamai
AKAM
$15.1B
$433K 0.06%
8,700
– –
NOC icon
306
Northrop Grumman
NOC
$73.2B
$433K 0.06%
1,688
– –
KYNB
307
Kyntra Bio
KYNB
$34.6M
$431K 0.06%
533
– –
LIVN icon
308
LivaNova
LIVN
$4.51B
$422K 0.05%
6,897
– –
NSC icon
309
Norfolk Southern
NSC
$74B
$415K 0.05%
3,410
– –
CEM
310
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$415K 0.05%
5,440
– –
SJI
311
DELISTED
South Jersey Industries, Inc.
SJI
$413K 0.05%
12,087
– –
IBDN
312
DELISTED
iShares iBonds Dec 2022 Term Corporate ETF
IBDN
$411K 0.05%
16,340
– –
CPK icon
313
Chesapeake Utilities
CPK
$3.2B
$405K 0.05%
5,400
– –
CGW icon
314
Invesco S&P Global Water Index ETF
CGW
$1.05B
$404K 0.05%
12,370
– –
ZTS icon
315
Zoetis
ZTS
$31.3B
$402K 0.05%
6,451
– –
FNX icon
316
First Trust Mid Cap Core AlphaDEX Fund
FNX
$1.39B
$400K 0.05%
6,757
– –
MOS icon
317
The Mosaic Company
MOS
$8.22B
$399K 0.05%
17,479
– –
KED
318
DELISTED
Kayne Anderson Energy
KED
$398K 0.05%
21,980
– –
XYL icon
319
Xylem
XYL
$24.7B
$394K 0.05%
7,100
– –
LBTYK icon
320
Liberty Global Class C
LBTYK
$3.56B
$393K 0.05%
12,614
– –
L icon
321
Loews
L
$22.3B
$390K 0.05%
8,341
– –
WHR icon
322
Whirlpool
WHR
$2.56B
$389K 0.05%
2,033
– –
DELL icon
323
Dell
DELL
$339B
$388K 0.05%
22,641
– –
SDY icon
324
State Street SPDR S&P Dividend ETF
SDY
$21.8B
$387K 0.05%
4,354
– –
CPE
325
DELISTED
Callon Petroleum Company
CPE
$382K 0.05%
3,600
– –
11 12
13
14 15

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A
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GA
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NNP
Nachman Norwood & Parrott Greenville, South Carolina $984M AUM 33.8% 1-Year Est. Return
JJIJ
Johnson & Johnson Innovation - JJDC New Brunswick, New Jersey $978M AUM 102.17% 1-Year Est. Return
BAWC
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RP
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PWA
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NIA
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USCA RIA's Q3 2017 Portfolio in Review

As of Q3 2017, USCA RIA held 411 positions worth $773M, down 0.99% from $781M the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Trading was light in Q3 2017: portfolio turnover was 1.5%. USCA RIA opened no new positions and exited 6, leaving the 411-position portfolio largely intact.

By sector, the portfolio is most concentrated in Miscellaneous at 22% of assets, up from 22% a quarter earlier, followed by Financials and Technology.

  • USCA RIA's biggest Q3 2017 reduction was MetLife, cutting an estimated $197K.
  • USCA RIA fully exited DuPont de Nemours in Q3 2017, selling an estimated $6.23M.
  • USCA RIA's ten largest holdings make up 17% of its $773M portfolio in Q3 2017.
  • USCA RIA opened 0 new positions and closed 6 in Q3 2017.
  • USCA RIA's portfolio value fell 0.99% quarter-over-quarter to $773M.

Based on USCA RIA's 13F filing for Q3 2017, filed 7 Nov 2017.