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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
+2.85%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$650M
AUM Growth
+$46.1M
Cap. Flow
+$32.7M
Cap. Flow %
5.04%
Top 10 Hldgs %
19.71%
Holding
417
New
43
Increased
151
Reduced
120
Closed
41

Top Buys

Rank Stock Value
1
ABBV icon
AbbVie
ABBV
+$4.82M
2
CMI icon
Cummins
CMI
+$4.69M
3
HPQ icon
HP
HPQ
+$3.68M
4
MPC icon
Marathon Petroleum
MPC
+$3.47M
5
GIS icon
General Mills
GIS
+$3.21M

Top Sells

Rank Stock Value
1
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$7.76M
2
PRU icon
Prudential Financial
PRU
+$3.66M
3
GD icon
General Dynamics
GD
+$2.85M
4
JPM icon
JPMorgan Chase
JPM
+$2.24M
5
SNY icon
Sanofi
SNY
+$2.17M

Sector Composition

Rank Sector Weight
1 Technology 11.26%
2 Energy 10.33%
3 Financials 10.18%
4 Consumer Staples 8.79%
5 Healthcare 8.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OLP
351
One Liberty Properties
OLP
$552M
$223K 0.03%
8,872
– –
STOR
352
DELISTED
STORE Capital Corporation
STOR
$220K 0.03%
8,900
– –
ED icon
353
Consolidated Edison
ED
$41.3B
$214K 0.03%
2,900
– –
EW icon
354
Edwards Lifesciences
EW
$48.6B
$211K 0.03%
6,750
– –
IBDM
355
DELISTED
iShares iBonds Dec 2021 Term Corporate ETF
IBDM
$209K 0.03%
+8,469
New +$211K
IBB icon
356
iShares Biotechnology ETF
IBB
$9.26B
$205K 0.03%
2,322
-48
-2% -$4.37K
LUMN icon
357
Lumen
LUMN
$6.9B
$204K 0.03%
8,593
-36,693
-81% -$932K
PX
358
DELISTED
Praxair Inc
PX
$204K 0.03%
1,738
-218
-11% -$25.9K
FPE icon
359
First Trust Preferred Securities and Income ETF
FPE
$6.34B
$200K 0.03%
10,554
-1,800
-15% -$34.6K
HYG icon
360
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.4B
$200K 0.03%
2,315
– –
VCIT icon
361
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.2B
$200K 0.03%
+2,330
New +$203K
BREW
362
DELISTED
Craft Brew Alliance, Inc.
BREW
$189K 0.03%
11,200
– –
FDC
363
DELISTED
First Data Corporation
FDC
$184K 0.03%
13,000
– –
MRO
364
DELISTED
Marathon Oil Corporation
MRO
$182K 0.03%
10,534
-19
-0.2% -$305
KKR icon
365
KKR & Co
KKR
$85.8B
$163K 0.03%
10,600
– –
CHRD icon
366
Chord Energy
CHRD
$7.74B
$156K 0.02%
10,300
– –
TEF
367
DELISTED
Telefonica
TEF
$155K 0.02%
20,832
-4,309
-17% -$31.5K
AWP
368
abrdn Global Premier Properties Fund
AWP
$379M
$137K 0.02%
8,889
– –
VIV icon
369
Telefônica Brasil
VIV
$22.4B
$137K 0.02%
10,240
– –
NOK icon
370
Nokia
NOK
$57.4B
$132K 0.02%
27,350
-11,635
-30% -$54.8K
WLL
371
DELISTED
Whiting Petroleum Corporation
WLL
$120K 0.02%
33
– –
SRC
372
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
$109K 0.02%
2,230
– –
GLBL
373
DELISTED
TerraForm Global, Inc. Class A Common Stock
GLBL
$106K 0.02%
26,900
– –
OHAI
374
DELISTED
OHA Investment Corporation
OHAI
$37K 0.01%
21,391
-63,617
-75% -$165K
QMCO icon
375
Quantum Corp
QMCO
$459M
$35K 0.01%
263
– –
13 14
15
16 17

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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 2016 Portfolio in Review

As of Q4 2016, USCA RIA held 417 positions worth $650M, up 7.6% from $604M the previous quarter. Its ten largest holdings account for 20% of the portfolio.

USCA RIA deployed $32.7M of net new capital in Q4 2016, opening 43 new positions and adding to 151 existing holdings. Its largest new stake was Tyson Foods: 30,201 shares worth $1.86M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, up from 10% a quarter earlier, followed by Energy and Financials.

On the sell side, the largest reduction was iShares 1-5 Year Investment Grade Corporate Bond ETF, an estimated $7.76M trimmed.

  • USCA RIA's largest Q4 2016 buy was Tyson Foods: 30,201 shares worth $1.86M.
  • USCA RIA added most to AbbVie in Q4 2016, an estimated $4.82M increase.
  • USCA RIA's biggest Q4 2016 reduction was iShares 1-5 Year Investment Grade Corporate Bond ETF, cutting an estimated $7.76M.
  • USCA RIA fully exited General Dynamics in Q4 2016, selling an estimated $2.85M.
  • USCA RIA's ten largest holdings make up 20% of its $650M portfolio in Q4 2016.
  • USCA RIA opened 43 new positions and closed 41 in Q4 2016.
  • USCA RIA's portfolio value rose 7.6% quarter-over-quarter to $650M.

Based on USCA RIA's 13F filing for Q4 2016, filed 9 Feb 2017.