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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
+4.55%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$463M
AUM Growth
+$64.5M
Cap. Flow
+$50.1M
Cap. Flow %
10.82%
Top 10 Hldgs %
17.74%
Holding
404
New
37
Increased
164
Reduced
119
Closed
38

Top Buys

Rank Stock Value
1
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$9.11M
2
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$6.49M
3
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$3.33M
4
PFE icon
Pfizer
PFE
+$2.52M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.98M

Top Sells

Rank Stock Value
1
GE icon
GE Aerospace
GE
+$2.5M
2
GOOG icon
Alphabet (Google) Class C
GOOG
+$1.99M
3
AFL icon
Aflac
AFL
+$1.53M
4
RSG icon
Republic Services
RSG
+$1.51M
5
MCD icon
McDonald's
MCD
+$1.5M

Sector Composition

Rank Sector Weight
1 Energy 10.59%
2 Technology 9.64%
3 Consumer Staples 9.4%
4 Healthcare 8.52%
5 Financials 8.46%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JTA
351
DELISTED
Nuveen Tax-Advantaged Total Return Strategy Fund
JTA
$128K 0.03%
11,000
– –
EAD
352
Allspring Income Opportunities Fund
EAD
$372M
$112K 0.02%
15,100
-17,900
-54% -$136K
BREW
353
DELISTED
Craft Brew Alliance, Inc.
BREW
$96K 0.02%
11,500
– –
FRPT icon
354
Freshpet
FRPT
$2.82B
$94K 0.02%
11,050
-15,800
-59% -$137K
PHYS icon
355
Sprott Physical Gold
PHYS
$14.6B
$93K 0.02%
+10,700
New +$97.1K
RMT
356
Royce Micro-Cap Trust
RMT
$745M
$92K 0.02%
12,655
-4,599
-27% -$35.8K
GLBL
357
DELISTED
TerraForm Global, Inc. Class A Common Stock
GLBL
$75K 0.02%
+13,400
New +$83.7K
RJET
358
DELISTED
REPUBLIC AWYS HLDGS INC
RJET
$73K 0.02%
18,500
-500
-3% -$2.48K
VNR
359
DELISTED
Vanguard Natural Resources, LLC
VNR
$71K 0.02%
23,705
+1,875
+9% +$11.4K
ASG
360
Liberty All-Star Growth Fund
ASG
$323M
$57K 0.01%
12,413
+80
+0.6% +$384
ABEV icon
361
Ambev
ABEV
$47.9B
$50K 0.01%
11,250
– –
LINE
362
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$40K 0.01%
31,095
-4,000
-11% -$8.91K
QMCO icon
363
Quantum Corp
QMCO
$463M
$39K 0.01%
263
-13
-5% -$1.78K
MEMP
364
DELISTED
Memorial Production Partners LP Common Units
MEMP
$33K 0.01%
12,540
-750
-6% -$3.19K
LNCO
365
DELISTED
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
$12K ﹤0.01%
11,580
-2,500
-18% -$5.05K
TEUM
366
DELISTED
Pareteum Corporation
TEUM
$5K ﹤0.01%
680
– –
BHC icon
367
Bausch Health
BHC
$1.68B
– –
-1,432
Closed -$255K
BSV icon
368
Vanguard Short-Term Bond ETF
BSV
$44.6B
– –
-3,100
Closed -$249K
CL icon
369
PUT
Colgate-Palmolive
CL
$71.8B
– –
-1,100
Closed -$1K
DEO icon
370
PUT
Diageo
DEO
$45.5B
– –
-500
Closed -$1K
ED icon
371
Consolidated Edison
ED
$41.3B
– –
-3,000
Closed -$201K
ET icon
372
Energy Transfer Partners
ET
$70B
– –
-13,808
Closed -$287K
GS icon
373
Goldman Sachs
GS
$318B
– –
-1,262
Closed -$219K
GSK icon
374
PUT
GSK
GSK
$101B
– –
-640
Closed -$3K
GWW icon
375
W.W. Grainger
GWW
$64.3B
– –
-4,913
Closed -$1.06M
13 14
15
16 17

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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
Black-and-white Capital Los Angeles, California $967M AUM 94.03% 1-Year Est. Return
RP
RR Partners New York $929M AUM 110.28% 1-Year Est. Return
PWA
Pinnacle Wealth Advisors Nashville, Tennessee $2.47B AUM
NIA
Northstar Investment Advisors Denver, Colorado $755M AUM 37.8% 1-Year Est. Return

USCA RIA's Q4 2015 Portfolio in Review

As of Q4 2015, USCA RIA held 404 positions worth $463M, up 16% from $398M the previous quarter. Its ten largest holdings account for 18% of the portfolio.

USCA RIA deployed $50.1M of net new capital in Q4 2015, opening 37 new positions and adding to 164 existing holdings. Its largest new stake was Alphabet (Google) Class A: 90,040 shares worth $3.5M.

By sector, the portfolio is most concentrated in Energy at 11% of assets, down from 13% a quarter earlier, followed by Technology and Consumer Staples.

On the sell side, the largest reduction was GE Aerospace, an estimated $2.5M trimmed.

  • USCA RIA's largest Q4 2015 buy was Alphabet (Google) Class A: 90,040 shares worth $3.5M.
  • USCA RIA added most to iShares Core US Aggregate Bond ETF in Q4 2015, an estimated $9.11M increase.
  • USCA RIA's biggest Q4 2015 reduction was GE Aerospace, cutting an estimated $2.5M.
  • USCA RIA fully exited Republic Services in Q4 2015, selling an estimated $1.51M.
  • USCA RIA's ten largest holdings make up 18% of its $463M portfolio in Q4 2015.
  • USCA RIA opened 37 new positions and closed 38 in Q4 2015.
  • USCA RIA's portfolio value rose 16% quarter-over-quarter to $463M.

Based on USCA RIA's 13F filing for Q4 2015, filed 8 Feb 2016.