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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
+9.01%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$251M
AUM Growth
+$30.8M
Cap. Flow
+$13.1M
Cap. Flow %
5.22%
Top 10 Hldgs %
23.85%
Holding
294
New
48
Increased
96
Reduced
71
Closed
40

Top Buys

Rank Stock Value
1
OILT
OILTANKING PARTNERS L P UIT LTD PARTNERSHIP INT (DE)
OILT
+$1.22M
2
GM icon
General Motors
GM
+$1.14M
3
AMGN icon
Amgen
AMGN
+$932K
4
MAT icon
Mattel
MAT
+$864K
5
CMI icon
Cummins
CMI
+$841K

Top Sells

Rank Stock Value
1
CVRR
CVR Refining, LP
CVRR
+$1.17M
2
FLIC
First of Long Island Corp
FLIC
+$976K
3
GM.PRB
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
+$960K
4
DHC
Diversified Healthcare Trust
DHC
+$930K
5
O icon
Realty Income
O
+$921K

Sector Composition

Rank Sector Weight
1 Energy 27.62%
2 Consumer Staples 9.79%
3 Financials 9.32%
4 Technology 8.92%
5 Industrials 8.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VZ icon
126
Verizon
VZ
$185B
$605K 0.24%
12,321
-374
-3% -$18.4K
JEF icon
127
Jefferies Financial Group
JEF
$12.7B
$597K 0.24%
23,549
-2,710
-10% -$68.6K
KKR icon
128
KKR & Co
KKR
$85.3B
$595K 0.24%
24,430
+8,000
+49% +$184K
BX icon
129
Blackstone
BX
$151B
$589K 0.24%
19,040
+102
+0.5% +$2.78K
IVV icon
130
iShares Core S&P 500 ETF
IVV
$878B
$587K 0.23%
3,160
+122
+4% +$21.7K
WPZ
131
DELISTED
WILLIAMS PARTNERS L.P. COM UTS REPTG L.P. INT
WPZ
$584K 0.23%
12,197
-8,662
-42% -$416K
VT icon
132
Vanguard Total World Stock ETF
VT
$76.6B
$583K 0.23%
9,820
-405
-4% -$23.3K
JAZZ icon
133
Jazz Pharmaceuticals
JAZZ
$15.8B
$582K 0.23%
4,600
+1,600
+53% +$166K
TGT icon
134
Target
TGT
$60.9B
$578K 0.23%
9,137
+400
+5% +$25.6K
PB icon
135
Prosperity Bancshares
PB
$8.58B
$571K 0.23%
9,000
– –
ETP
136
DELISTED
Energy Transfer Partners, L.P.
ETP
$566K 0.23%
15,000
– –
MDIV icon
137
First Trust Exchange-Traded Fund VI Multi-Asset Diversified Income Index Fund
MDIV
$428M
$560K 0.22%
26,921
-302
-1% -$6.3K
DVY icon
138
iShares Select Dividend ETF
DVY
$23.7B
$554K 0.22%
+7,768
New +$540K
SNY icon
139
Sanofi
SNY
$103B
$525K 0.21%
9,782
– –
RTN
140
DELISTED
Raytheon Company
RTN
$519K 0.21%
5,727
-1,300
-19% -$109K
ESRX
141
DELISTED
Express Scripts Holding Company
ESRX
$494K 0.2%
7,032
+300
+4% +$19.6K
KO icon
142
Coca-Cola
KO
$352B
$489K 0.2%
11,826
-11,136
-48% -$439K
DGRW icon
143
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
$16.5B
$475K 0.19%
+17,048
New +$454K
EEM icon
144
iShares MSCI Emerging Markets ETF
EEM
$28.7B
$475K 0.19%
+11,377
New +$476K
FYX icon
145
First Trust Small Cap Core AlphaDEX Fund
FYX
$1.36B
$474K 0.19%
9,748
+50
+0.5% +$2.31K
PNR icon
146
Pentair
PNR
$10.2B
$458K 0.18%
8,778
-442
-5% -$20.6K
PXD
147
DELISTED
Pioneer Natural Resource Co.
PXD
$457K 0.18%
2,485
+800
+47% +$154K
NGLS
148
DELISTED
TARGA RESOURCES PARTNERS LP COM UTS REPTG LTD PARTERSHIP INT
NGLS
$450K 0.18%
8,600
-1,180
-12% -$60.2K
POT
149
DELISTED
Potash Corp Of Saskatchewan
POT
$443K 0.18%
13,432
+200
+2% +$6.38K
WFM
150
DELISTED
Whole Foods Market Inc
WFM
$436K 0.17%
7,546
+270
+4% +$16K
4 5
6
7 8

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A
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GA
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NNP
Nachman Norwood & Parrott Greenville, South Carolina $984M AUM 33.8% 1-Year Est. Return
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 2013 Portfolio in Review

As of Q4 2013, USCA RIA held 294 positions worth $251M, up 14% from $220M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

USCA RIA deployed $13.1M of net new capital in Q4 2013, opening 48 new positions and adding to 96 existing holdings. Its largest new stake was OILTANKING PARTNERS L P UIT LTD PARTNERSHIP INT (DE): 41,600 shares worth $1.29M.

By sector, the portfolio is most concentrated in Energy at 28% of assets, down from 30% a quarter earlier, followed by Consumer Staples and Financials.

On the sell side, the largest reduction was NGL Energy Partners, an estimated $619K trimmed.

  • USCA RIA's largest Q4 2013 buy was OILTANKING PARTNERS L P UIT LTD PARTNERSHIP INT (DE): 41,600 shares worth $1.29M.
  • USCA RIA added most to Cummins in Q4 2013, an estimated $841K increase.
  • USCA RIA's biggest Q4 2013 reduction was NGL Energy Partners, cutting an estimated $619K.
  • USCA RIA fully exited CVR Refining, LP in Q4 2013, selling an estimated $1.17M.
  • USCA RIA's ten largest holdings make up 24% of its $251M portfolio in Q4 2013.
  • USCA RIA opened 48 new positions and closed 40 in Q4 2013.
  • USCA RIA's portfolio value rose 14% quarter-over-quarter to $251M.

Based on USCA RIA's 13F filing for Q4 2013, filed 5 Feb 2014.