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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
FLG
351
Flagstar Bank National Association
FLG
$6.07B
– –
-7,600
Closed -$362K
MRO
352
DELISTED
Marathon Oil Corporation
MRO
– –
-6,182
Closed -$232K
SAVE
353
DELISTED
Spirit Airlines, Inc.
SAVE
– –
-4,000
Closed -$277K
VIA
354
DELISTED
Via Renewables, Inc. Class A Common Stock
VIA
– –
-5,280
Closed -$229K
PXD
355
DELISTED
Pioneer Natural Resource Co.
PXD
– –
-2,035
Closed -$401K
LUB
356
DELISTED
Luby's Inc.
LUB
– –
-10,600
Closed -$56K
RDS.B
357
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
– –
-2,626
Closed -$208K
XEC
358
DELISTED
CIMAREX ENERGY CO
XEC
– –
-2,600
Closed -$329K
GWPH
359
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
– –
-3,500
Closed -$283K
HCR
360
DELISTED
Hi-Crush Inc. Common Stock
HCR
– –
-4,600
Closed -$237K
TOO
361
DELISTED
Teekay Offshore Partners L.P.
TOO
– –
-6,150
Closed -$207K
CTWS
362
DELISTED
Connecticut Water Service Inc
CTWS
– –
-29,902
Closed -$972K
AMID
363
DELISTED
American Midstream Partners, LP
AMID
– –
-13,170
Closed -$383K
SNI
364
DELISTED
Scripps Networks Interactive, Inc Common Class A
SNI
– –
-5,250
Closed -$410K
SE
365
DELISTED
Spectra Energy Corp Wi
SE
– –
-6,734
Closed -$264K
STJ
366
DELISTED
St Jude Medical
STJ
– –
-14,408
Closed -$866K
LRE
367
DELISTED
LRR ENERGY LP
LRE
– –
-10,000
Closed -$179K
WPZ
368
DELISTED
Williams Partners L.P.
WPZ
– –
-11,565
Closed -$694K
VE
369
DELISTED
VEOLIA ENVIRONNEMENT
VE
– –
-13,100
Closed -$230K
JLA
370
DELISTED
NUVEEN EQUITY PREMIUM ADVANTAGE FUND
JLA
– –
-24,000
Closed -$313K
DPO
371
DELISTED
DOW ENHANCED PREMIUM & INCOME FUND, INC COM
DPO
– –
-14,465
Closed -$193K
KMP
372
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
– –
-34,829
Closed -$3.25M
COBR
373
DELISTED
COBRA ELECTRONICS CORP
COBR
– –
-218,500
Closed -$935K
WWAV
374
DELISTED
The WhiteWave Foods Company
WWAV
– –
-6,700
Closed -$243K
LNCO
375
DELISTED
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
– –
-19,075
Closed -$552K
12 13 14
15
16

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GA
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NNP
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JJIJ
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BAWC
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PWA
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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.