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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
CB icon
176
Chubb
CB
$133B
$895K 0.14%
6,770
+306
+5% +$39K
PEG icon
177
Public Service Enterprise Group
PEG
$39.7B
$886K 0.14%
20,199
+3,800
+23% +$158K
ETX
178
Eaton Vance Municipal Income 2028 Term Trust
ETX
$204M
$882K 0.14%
44,966
+15,311
+52% +$299K
BTT icon
179
BlackRock Municipal 2030 Target Term Trust
BTT
$1.43B
$881K 0.14%
40,335
-1,000
-2% -$22.5K
DEO icon
180
Diageo
DEO
$46.9B
$876K 0.13%
8,424
+1,515
+22% +$159K
PR
181
Permian Resources
PR
$17.9B
$865K 0.13%
43,865
+21,900
+100% +$362K
NEA icon
182
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.39B
$857K 0.13%
64,221
-838
-1% -$11.3K
FYX icon
183
First Trust Small Cap Core AlphaDEX Fund
FYX
$1.37B
$848K 0.13%
15,743
+1,250
+9% +$63.8K
ALL icon
184
Allstate
ALL
$64.8B
$846K 0.13%
11,417
– –
BKT icon
185
BlackRock Income Trust
BKT
$333M
$843K 0.13%
44,367
+40,334
+1,000% +$764K
GRX
186
Gabelli Healthcare & Wellness Trust
GRX
$140M
$841K 0.13%
89,094
+331
+0.4% +$3.22K
CONE
187
DELISTED
CyrusOne Inc Common Stock
CONE
$836K 0.13%
18,700
– –
CVS icon
188
CVS Health
CVS
$138B
$834K 0.13%
10,569
-10,500
-50% -$850K
GPOR
189
DELISTED
Gulfport Energy Corp.
GPOR
$808K 0.12%
37,350
+14,250
+62% +$366K
IVZ icon
190
Invesco
IVZ
$13.5B
$801K 0.12%
26,408
+5,439
+26% +$167K
MRSH
191
Marsh
MRSH
$84.8B
$797K 0.12%
11,788
– –
RDS.A
192
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$797K 0.12%
14,662
-584
-4% -$30.1K
WSR
193
DELISTED
Whitestone REIT
WSR
$795K 0.12%
+55,290
New +$744K
TRV icon
194
Travelers Companies
TRV
$82.1B
$786K 0.12%
6,424
+1,268
+25% +$145K
D icon
195
Dominion Energy
D
$62.5B
$784K 0.12%
10,232
+2,967
+41% +$219K
MDT icon
196
Medtronic
MDT
$105B
$779K 0.12%
10,943
+100
+0.9% +$7.86K
KMG
197
DELISTED
KMG Chemicals Inc
KMG
$758K 0.12%
19,500
– –
TOTL icon
198
State Street DoubleLine Total Return Tactical ETF
TOTL
$4.12B
$740K 0.11%
15,286
-900
-6% -$44.3K
KMF
199
DELISTED
Kayne Anderson NextGen Energy & Infrastructure, Inc.
KMF
$740K 0.11%
+46,550
New +$707K
KYN icon
200
Kayne Anderson Energy Infrastructure Fund
KYN
$2.52B
$733K 0.11%
+37,438
New +$725K
6 7
8
9 10

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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 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.