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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
+2.01%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$362M
AUM Growth
+$33.9M
Cap. Flow
+$33.9M
Cap. Flow %
9.36%
Top 10 Hldgs %
21.12%
Holding
376
New
52
Increased
131
Reduced
99
Closed
51

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$10.1M
2
IWS icon
iShares Russell Mid-Cap Value ETF
IWS
+$6.49M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.7M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$3.77M
5
KMI icon
Kinder Morgan
KMI
+$3.24M

Top Sells

Rank Stock Value
1
KMP
KINDER MORGAN ENER PNTRS L.P.
KMP
+$3.25M
2
STX icon
Seagate
STX
+$1.66M
3
DUK icon
Duke Energy
DUK
+$1.15M
4
SNA icon
Snap-on
SNA
+$985K
5
CTWS
Connecticut Water Service Inc
CTWS
+$972K

Sector Composition

Rank Sector Weight
1 Energy 20.06%
2 Industrials 8.65%
3 Technology 8.4%
4 Financials 7.87%
5 Consumer Staples 7.71%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MA icon
126
Mastercard
MA
$470B
$757K 0.21%
8,786
-870
-9% -$71K
ESRX
127
DELISTED
Express Scripts Holding Company
ESRX
$747K 0.21%
8,824
-207
-2% -$16.2K
EMR icon
128
Emerson Electric
EMR
$78.2B
$741K 0.2%
11,997
+977
+9% +$61.2K
EEP
129
DELISTED
Enbridge Energy Partners
EEP
$740K 0.2%
18,544
+6
+0% +$225
LUV icon
130
Southwest Airlines
LUV
$23.3B
$723K 0.2%
17,078
+5,000
+41% +$187K
PPL
131
PPL Corp
PPL
$27.2B
$721K 0.2%
21,309
-13
-0.1% -$425
IYT icon
132
iShares US Transportation ETF
IYT
$2.33B
$714K 0.2%
+17,400
New +$684K
AIRR icon
133
First Trust RBA American Industrial Renaissance ETF
AIRR
$10.7B
$709K 0.2%
+38,702
New +$706K
AGN
134
DELISTED
Allergan Inc
AGN
$704K 0.19%
3,311
+285
+9% +$56.7K
PEP icon
135
PepsiCo
PEP
$185B
$694K 0.19%
7,340
+3
+0% +$288
BAX icon
136
Baxter International
BAX
$11.2B
$690K 0.19%
17,324
+4,792
+38% +$187K
MDIV icon
137
First Trust Exchange-Traded Fund VI Multi-Asset Diversified Income Index Fund
MDIV
$430M
$689K 0.19%
32,401
+1,046
+3% +$22.5K
ETP
138
DELISTED
Energy Transfer Partners, L.P.
ETP
$689K 0.19%
16,500
– –
IP icon
139
International Paper
IP
$20.2B
$683K 0.19%
13,454
+1
+0% +$49
ORCL icon
140
Oracle
ORCL
$362B
$680K 0.19%
15,121
+316
+2% +$12.9K
LFUS icon
141
Littelfuse
LFUS
$10.5B
$667K 0.18%
6,900
– –
RMP
142
DELISTED
Rice Midstream Partners LP
RMP
$666K 0.18%
+39,750
New +$652K
CVS icon
143
CVS Health
CVS
$138B
$660K 0.18%
+6,856
New +$604K
BA icon
144
Boeing
BA
$164B
$647K 0.18%
4,978
-1,258
-20% -$160K
HQL
145
abrdn Life Sciences Investors
HQL
$600M
$644K 0.18%
25,902
+4,456
+21% +$107K
LYB icon
146
LyondellBasell Industries
LYB
$20.1B
$635K 0.18%
7,997
-3
-0% -$260
ETV
147
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.75B
$623K 0.17%
+44,334
New +$657K
KO icon
148
Coca-Cola
KO
$354B
$623K 0.17%
14,767
+433
+3% +$18.5K
PRU icon
149
Prudential Financial
PRU
$41.3B
$613K 0.17%
6,775
+1,200
+22% +$103K
ETN icon
150
Eaton
ETN
$158B
$605K 0.17%
8,897
-10,407
-54% -$686K
4 5
6
7 8

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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
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
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NIA
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USCA RIA's Q4 2014 Portfolio in Review

As of Q4 2014, USCA RIA held 376 positions worth $362M, up 10% from $328M the previous quarter. Its ten largest holdings account for 21% of the portfolio.

USCA RIA deployed $33.9M of net new capital in Q4 2014, opening 52 new positions and adding to 131 existing holdings. Its largest new stake was iShares Russell Mid-Cap Value ETF: 90,311 shares worth $6.66M.

By sector, the portfolio is most concentrated in Energy at 20% of assets, down from 27% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Seagate, an estimated $1.66M trimmed.

  • USCA RIA's largest Q4 2014 buy was iShares Russell Mid-Cap Value ETF: 90,311 shares worth $6.66M.
  • USCA RIA added most to iShares iBoxx $ Investment Grade Corporate Bond ETF in Q4 2014, an estimated $10.1M increase.
  • USCA RIA's biggest Q4 2014 reduction was Seagate, cutting an estimated $1.66M.
  • USCA RIA fully exited KINDER MORGAN ENER PNTRS L.P. in Q4 2014, selling an estimated $3.25M.
  • USCA RIA's ten largest holdings make up 21% of its $362M portfolio in Q4 2014.
  • USCA RIA opened 52 new positions and closed 51 in Q4 2014.
  • USCA RIA's portfolio value rose 10% quarter-over-quarter to $362M.

Based on USCA RIA's 13F filing for Q4 2014, filed 11 Feb 2015.