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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
+2.48%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$604M
AUM Growth
+$8.45M
Cap. Flow
-$2.32M
Cap. Flow %
-0.38%
Top 10 Hldgs %
22.43%
Holding
403
New
39
Increased
149
Reduced
118
Closed
29

Top Buys

Rank Stock Value
1
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$34.2M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.8M
3
TGT icon
Target
TGT
+$2.96M
4
MCD icon
McDonald's
MCD
+$2.46M
5
CAH icon
Cardinal Health
CAH
+$2.26M

Top Sells

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$19.4M
2
TLH icon
iShares 10-20 Year Treasury Bond ETF
TLH
+$19.1M
3
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$7.64M
4
ABBV icon
AbbVie
ABBV
+$4.73M
5
QCOM icon
Qualcomm
QCOM
+$3.07M

Sector Composition

Rank Sector Weight
1 Technology 10.27%
2 Energy 9.72%
3 Financials 9.21%
4 Consumer Staples 8.44%
5 Industrials 8.37%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADM icon
376
Archer Daniels Midland
ADM
$42.1B
– –
-18,016
Closed -$773K
ALB icon
377
Albemarle
ALB
$13.8B
– –
-21,637
Closed -$1.72M
APOG icon
378
Apogee Enterprises
APOG
$838M
– –
-6,240
Closed -$289K
COR icon
379
Cencora
COR
$58.5B
– –
-23,375
Closed -$1.85M
CQP icon
380
Cheniere Energy
CQP
$31.3B
– –
-6,758
Closed -$203K
CSX icon
381
CSX Corp
CSX
$92.7B
– –
-96,030
Closed -$835K
GL icon
382
Globe Life
GL
$14.3B
– –
-4,000
Closed -$247K
ICE icon
383
Intercontinental Exchange
ICE
$80.6B
– –
-29,295
Closed -$1.5M
KBWY icon
384
Invesco KBW Premium Yield Equity REIT ETF
KBWY
$318M
– –
-12,705
Closed -$449K
KDP icon
385
Keurig Dr Pepper
KDP
$41.1B
– –
-15,870
Closed -$1.53M
LEG icon
386
Leggett & Platt
LEG
$1.46B
– –
-29,287
Closed -$1.5M
NXDT
387
NexPoint Diversified Real Estate Trust
NXDT
$289M
– –
-19,815
Closed -$422K
PCG icon
388
PG&E
PCG
$39.8B
– –
-5,500
Closed -$352K
RMT
389
Royce Micro-Cap Trust
RMT
$748M
– –
-12,328
Closed -$90K
SURE icon
390
AdvisorShares Insider Advantage ETF
SURE
$55.9M
– –
-12,082
Closed -$670K
TLH icon
391
iShares 10-20 Year Treasury Bond ETF
TLH
$11B
– –
-130,617
Closed -$19.1M
VTRS icon
392
Viatris
VTRS
$19.8B
– –
-12,300
Closed -$532K
WLY icon
393
John Wiley & Sons Class A
WLY
$2.51B
– –
-29,060
Closed -$1.52M
GAP
394
The Gap Inc
GAP
$7.07B
– –
-18,457
Closed -$392K
VIA
395
DELISTED
Via Renewables, Inc. Class A Common Stock
VIA
– –
-6,480
Closed -$535K
AMTD
396
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
-44,970
Closed -$1.28M
TEUM
397
DELISTED
Pareteum Corporation
TEUM
– –
-680
Closed -$3K
MRD
398
DELISTED
MEMORIAL RESOURCE DEV CORP COM STK (DE)
MRD
– –
-11,000
Closed -$175K
NPM
399
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
– –
-22,621
Closed -$350K
NPP
400
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
– –
-29,084
Closed -$480K
13 14 15
16
17

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A
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GA
Greenspring Associates Owings Mills, Maryland $1.48B AUM 61.93% 1-Year Est. Return
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
RR Partners New York $929M AUM 110.28% 1-Year Est. Return
PWA
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NIA
Northstar Investment Advisors Denver, Colorado $755M AUM 37.8% 1-Year Est. Return

USCA RIA's Q3 2016 Portfolio in Review

As of Q3 2016, USCA RIA held 403 positions worth $604M, up 1.4% from $595M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

USCA RIA's Q3 2016 filing shows 39 new, 149 increased, 118 reduced and 29 closed positions. Its largest new stake was US Bancorp: 48,412 shares worth $2.08M. The largest sale was iShares 20+ Year Treasury Bond ETF, an estimated $19.4M.

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

  • USCA RIA's largest Q3 2016 buy was US Bancorp: 48,412 shares worth $2.08M.
  • USCA RIA added most to iShares 1-5 Year Investment Grade Corporate Bond ETF in Q3 2016, an estimated $34.2M increase.
  • USCA RIA's biggest Q3 2016 reduction was iShares 20+ Year Treasury Bond ETF, cutting an estimated $19.4M.
  • USCA RIA fully exited iShares 10-20 Year Treasury Bond ETF in Q3 2016, selling an estimated $19.1M.
  • USCA RIA's ten largest holdings make up 22% of its $604M portfolio in Q3 2016.
  • USCA RIA opened 39 new positions and closed 29 in Q3 2016.
  • USCA RIA's portfolio value rose 1.4% quarter-over-quarter to $604M.

Based on USCA RIA's 13F filing for Q3 2016, filed 15 Nov 2016.