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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
VNR
376
DELISTED
Vanguard Natural Resources, LLC
VNR
$10K ﹤0.01%
15,250
– –
BLW icon
377
BlackRock Limited Duration Income Trust
BLW
$496M
– –
-45,340
Closed -$704K
BTO
378
John Hancock Financial Opportunities Fund
BTO
$802M
– –
-14,725
Closed -$409K
CCL icon
379
Carnival Corporation Ltd
CCL
$35.7B
– –
-12,843
Closed -$627K
ENX
380
DELISTED
Eaton Vance New York Municipal Bond Fund
ENX
– –
-12,000
Closed -$172K
FLO icon
381
Flowers Foods
FLO
$1.75B
– –
-97,750
Closed -$1.48M
GD icon
382
General Dynamics
GD
$101B
– –
-18,351
Closed -$2.85M
HBI
383
DELISTED
Hanesbrands
HBI
– –
-66,084
Closed -$1.67M
HQL
384
abrdn Life Sciences Investors
HQL
$600M
– –
-17,880
Closed -$335K
HUBB icon
385
Hubbell
HUBB
$25.2B
– –
-16,557
Closed -$1.78M
IMAX icon
386
IMAX
IMAX
$2.16B
– –
-8,525
Closed -$247K
JBHT icon
387
JB Hunt Transport Services
JBHT
$27.4B
– –
-21,304
Closed -$1.73M
JLS icon
388
Nuveen Mortgage and Income Fund
JLS
$95.5M
– –
-22,252
Closed -$538K
JWN
389
DELISTED
Nordstrom
JWN
– –
-19,337
Closed -$1M
LLY icon
390
Eli Lilly
LLY
$1.04T
– –
-2,701
Closed -$217K
LULU icon
391
lululemon athletica
LULU
$12.9B
– –
-16,050
Closed -$979K
MDIV icon
392
First Trust Exchange-Traded Fund VI Multi-Asset Diversified Income Index Fund
MDIV
$430M
– –
-16,211
Closed -$307K
MHN
393
DELISTED
BlackRock MuniHoldings New Yrok Quality Fund
MHN
– –
-13,935
Closed -$207K
MSM icon
394
MSC Industrial Direct
MSM
$7.11B
– –
-24,551
Closed -$1.8M
MYN icon
395
BlackRock MuniYield New York Quality Fund
MYN
$379M
– –
-11,818
Closed -$167K
NKE icon
396
Nike
NKE
$62.6B
– –
-10,458
Closed -$551K
PDI icon
397
PIMCO Dynamic Income Fund
PDI
$7.49B
– –
-56,481
Closed -$1.61M
PGX icon
398
Invesco Preferred ETF
PGX
$3.86B
– –
-32,052
Closed -$485K
PII icon
399
Polaris
PII
$4.22B
– –
-18,490
Closed -$1.43M
PSLV icon
400
Sprott Physical Silver Trust
PSLV
$12.2B
– –
-15,300
Closed -$113K
13 14 15
16
17

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A
AdvicePeriod Los Angeles, California $1.54B AUM 29.32% 1-Year Est. Return
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
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 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.