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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
+4.05%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$220M
AUM Growth
+$20.7M
Cap. Flow
+$15.6M
Cap. Flow %
7.1%
Top 10 Hldgs %
25.12%
Holding
267
New
33
Increased
113
Reduced
60
Closed
21

Top Buys

Rank Stock Value
1
NGL icon
NGL Energy Partners
NGL
+$1.49M
2
MUB icon
iShares National Muni Bond ETF
MUB
+$1.35M
3
EQM
EQM Midstream Partners, LP
EQM
+$1.17M
4
GPOR
Gulfport Energy Corp.
GPOR
+$1.11M
5
OHI icon
Omega Healthcare
OHI
+$768K

Top Sells

Rank Stock Value
1
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$3.37M
2
LINE
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
+$1.81M
3
TFI icon
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
+$1.14M
4
MYI icon
BlackRock MuniYield Quality Fund III
MYI
+$1.1M
5
SPA
Sparton
SPA
+$889K

Sector Composition

Rank Sector Weight
1 Energy 29.59%
2 Consumer Staples 10.35%
3 Financials 9.77%
4 Technology 8.12%
5 Healthcare 7.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LUMN icon
51
Lumen
LUMN
$6.9B
$1.24M 0.56%
39,410
+18,816
+91% +$640K
LLY icon
52
Eli Lilly
LLY
$1.04T
$1.22M 0.55%
24,155
+7,452
+45% +$390K
YUM icon
53
Yum! Brands
YUM
$40.7B
$1.22M 0.55%
23,686
+42
+0.2% +$2.18K
V icon
54
Visa
V
$672B
$1.21M 0.55%
25,324
+6,720
+36% +$311K
VNR
55
DELISTED
Vanguard Natural Resources, LLC
VNR
$1.21M 0.55%
43,230
+4,000
+10% +$110K
STX icon
56
Seagate
STX
$205B
$1.19M 0.54%
27,100
+11,900
+78% +$500K
CVRR
57
DELISTED
CVR Refining, LP
CVRR
$1.17M 0.53%
46,805
-3,500
-7% -$94.5K
DD icon
58
DuPont de Nemours
DD
$18.9B
$1.17M 0.53%
11,991
+2,323
+24% +$216K
LMT icon
59
Lockheed Martin
LMT
$119B
$1.14M 0.52%
8,913
+5,608
+170% +$681K
LYB icon
60
LyondellBasell Industries
LYB
$20.1B
$1.13M 0.51%
15,430
+10,630
+221% +$740K
GEL icon
61
Genesis Energy
GEL
$1.83B
$1.11M 0.5%
22,100
+5,900
+36% +$297K
C icon
62
Citigroup
C
$222B
$1.08M 0.49%
22,290
+1,000
+5% +$50.6K
MDY icon
63
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27B
$1.07M 0.49%
4,750
+301
+7% +$66.9K
BMY icon
64
Bristol-Myers Squibb
BMY
$124B
$1.04M 0.47%
22,479
-552
-2% -$24.2K
WPZ
65
DELISTED
WILLIAMS PARTNERS L.P. COM UTS REPTG L.P. INT
WPZ
$1.04M 0.47%
20,859
-424
-2% -$20.3K
MLPL
66
DELISTED
UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN
MLPL
$1.02M 0.46%
18,920
+2,500
+15% +$133K
TEP
67
DELISTED
Tallgrass Energy Partners, LP
TEP
$1M 0.46%
42,925
– –
ETP
68
DELISTED
Energy Transfer Partners L.p.
ETP
$995K 0.45%
19,100
+3,500
+22% +$181K
FLIC
69
DELISTED
First of Long Island Corp
FLIC
$976K 0.44%
56,545
+12,823
+29% +$209K
GM.PRB
70
DELISTED
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
$960K 0.44%
19,140
+9,380
+96% +$468K
RDS.A
71
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$951K 0.43%
14,473
+828
+6% +$54.2K
DHC
72
Diversified Healthcare Trust
DHC
$2.25B
$930K 0.42%
40,191
+17,029
+74% +$412K
O icon
73
Realty Income
O
$60.6B
$921K 0.42%
23,911
+10,556
+79% +$428K
COST icon
74
Costco
COST
$411B
$894K 0.41%
7,760
+317
+4% +$36.6K
DUK icon
75
Duke Energy
DUK
$99.7B
$871K 0.4%
13,042
+6,713
+106% +$458K
1 2
3
4 5

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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 2013 Portfolio in Review

As of Q3 2013, USCA RIA held 267 positions worth $220M, up 10% from $199M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

USCA RIA deployed $15.6M of net new capital in Q3 2013, opening 33 new positions and adding to 113 existing holdings. Its largest new stake was NGL Energy Partners: 49,500 shares worth $1.53M.

By sector, the portfolio is most concentrated in Energy at 30% of assets, up from 29% a quarter earlier, followed by Consumer Staples and Financials.

On the sell side, the largest reduction was LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS, an estimated $1.81M trimmed.

  • USCA RIA's largest Q3 2013 buy was NGL Energy Partners: 49,500 shares worth $1.53M.
  • USCA RIA added most to EQM Midstream Partners, LP in Q3 2013, an estimated $1.17M increase.
  • USCA RIA's biggest Q3 2013 reduction was LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS, cutting an estimated $1.81M.
  • USCA RIA fully exited ProShares Short 20+ Year Treasury ETF in Q3 2013, selling an estimated $3.37M.
  • USCA RIA's ten largest holdings make up 25% of its $220M portfolio in Q3 2013.
  • USCA RIA opened 33 new positions and closed 21 in Q3 2013.
  • USCA RIA's portfolio value rose 10% quarter-over-quarter to $220M.

Based on USCA RIA's 13F filing for Q3 2013, filed 14 Nov 2013.