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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
+1.65%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$1.02B
AUM Growth
+$32.1M
Cap. Flow
+$22.5M
Cap. Flow %
2.21%
Top 10 Hldgs %
14.93%
Holding
481
New
35
Increased
212
Reduced
128
Closed
28

Top Buys

Rank Stock Value
1
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$7.31M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.11M
3
FTC icon
First Trust Large Cap Growth AlphaDEX Fund
FTC
+$3M
4
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$2.94M
5
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$2.25M

Top Sells

Rank Stock Value
1
MAIN icon
Main Street Capital
MAIN
+$6.08M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.38M
3
IJK icon
iShares S&P Mid-Cap 400 Growth ETF
IJK
+$3.99M
4
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.17M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.51M

Sector Composition

Rank Sector Weight
1 Financials 13.8%
2 Technology 11.17%
3 Healthcare 9.91%
4 Energy 9.17%
5 Industrials 8.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SHLL.U
426
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
$195K 0.02%
19,385
– –
PSLV icon
427
Sprott Physical Silver Trust
PSLV
$11.8B
$190K 0.02%
30,466
– –
EQT icon
428
EQT Corp
EQT
$33.4B
$189K 0.02%
17,798
-267
-1% -$3.44K
CTR
429
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
$178K 0.02%
4,000
+600
+18% +$27.3K
KMF
430
DELISTED
Kayne Anderson NextGen Energy & Infrastructure, Inc.
KMF
$165K 0.02%
15,222
-45,655
-75% -$504K
WPX
431
DELISTED
WPX Energy, Inc.
WPX
$165K 0.02%
15,585
+4,745
+44% +$50.1K
PR
432
Permian Resources
PR
$17.9B
$148K 0.01%
32,750
+5,700
+21% +$30.6K
CCJ icon
433
Cameco
CCJ
$38.9B
$138K 0.01%
14,567
– –
HBM icon
434
Hudbay
HBM
$10B
$116K 0.01%
32,145
-14,397
-31% -$58.6K
ROSE
435
DELISTED
Rosehill Resources Inc. Class A
ROSE
$114K 0.01%
58,367
– –
EMWP
436
DELISTED
Eros Media World PLC
EMWP
$111K 0.01%
2,915
+320
+12% +$11.4K
FLEX icon
437
Flex
FLEX
$46.9B
$109K 0.01%
+13,807
New +$106K
RRC icon
438
Range Resources
RRC
$9.08B
$107K 0.01%
28,061
-2,411
-8% -$11.6K
SIRI icon
439
SiriusXM
SIRI
$10.1B
$106K 0.01%
+1,690
New +$104K
JPS
440
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$102K 0.01%
10,325
– –
SLCA
441
DELISTED
U.S. SILICA HOLDINGS, INC.
SLCA
$98K 0.01%
10,300
– –
CPE
442
DELISTED
Callon Petroleum Company
CPE
$87K 0.01%
2,000
+500
+33% +$24.4K
DBRG icon
443
DigitalBridge
DBRG
$2.93B
$65K 0.01%
2,687
– –
MDR
444
DELISTED
McDermott International
MDR
$57K 0.01%
+28,000
New +$172K
CHRD icon
445
Chord Energy
CHRD
$7.82B
$35K ﹤0.01%
10,000
-298
-3% -$1.18K
HCR
446
DELISTED
Hi-Crush Inc. Common Stock
HCR
$27K ﹤0.01%
15,500
– –
LLEX
447
DELISTED
Lilis Energy, Inc. Common Stock
LLEX
$25K ﹤0.01%
75,538
– –
CHK
448
DELISTED
Chesapeake Energy Corporation
CHK
$21K ﹤0.01%
75
-17
-18% -$5.53K
OHAI
449
DELISTED
OHA Investment Corporation
OHAI
$21K ﹤0.01%
16,526
– –
NE
450
DELISTED
Noble Corporation
NE
$18K ﹤0.01%
14,000
– –
16 17
18
19 20

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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 Q3 2019 Portfolio in Review

As of Q3 2019, USCA RIA held 481 positions worth $1.02B, up 3.3% from $985M the previous quarter. Its ten largest holdings account for 15% of the portfolio.

USCA RIA's Q3 2019 filing shows 35 new, 212 increased, 128 reduced and 28 closed positions. Its largest new stake was iShares MSCI USA Min Vol Factor ETF: 64,925 shares worth $4.16M. The largest sale was Main Street Capital, an estimated $6.08M.

By sector, the portfolio is most concentrated in Financials at 14% of assets, down from 14% a quarter earlier, followed by Technology and Healthcare.

  • USCA RIA's largest Q3 2019 buy was iShares MSCI USA Min Vol Factor ETF: 64,925 shares worth $4.16M.
  • USCA RIA added most to iShares Core US Aggregate Bond ETF in Q3 2019, an estimated $7.31M increase.
  • USCA RIA's biggest Q3 2019 reduction was Main Street Capital, cutting an estimated $6.08M.
  • USCA RIA fully exited Twilio in Q3 2019, selling an estimated $1.46M.
  • USCA RIA's ten largest holdings make up 15% of its $1.02B portfolio in Q3 2019.
  • USCA RIA opened 35 new positions and closed 28 in Q3 2019.
  • USCA RIA's portfolio value rose 3.3% quarter-over-quarter to $1.02B.

Based on USCA RIA's 13F filing for Q3 2019, filed 31 Oct 2019.