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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
PX
201
DELISTED
Praxair Inc
PX
$245K 0.11%
2,035
-105
-5% -$12.5K
NML
202
Neuberger Energy Infrastructure and Income Fund Inc
NML
$591M
$244K 0.11%
13,000
-7,000
-35% -$136K
SYK icon
203
Stryker
SYK
$119B
$243K 0.11%
3,588
-50
-1% -$3.45K
BLK icon
204
Blackrock
BLK
$164B
$239K 0.11%
885
– –
MOO icon
205
VanEck Agribusiness ETF
MOO
$990M
$239K 0.11%
4,660
+250
+6% +$12.8K
CB icon
206
Chubb
CB
$133B
$234K 0.11%
2,500
– –
NFG icon
207
National Fuel Gas
NFG
$7.87B
$234K 0.11%
+3,400
New +$221K
SMC
208
Summit Midstream
SMC
$419M
$234K 0.11%
459
– –
BEAM
209
DELISTED
BEAM INC COM STK (DE)
BEAM
$234K 0.11%
3,620
– –
GLW icon
210
Corning
GLW
$133B
$233K 0.11%
15,968
-300
-2% -$4.44K
Y
211
DELISTED
Alleghany Corp
Y
$231K 0.11%
564
– –
BKLN icon
212
Invesco Senior Loan ETF
BKLN
$7.1B
$230K 0.1%
9,300
-3,715
-29% -$92.2K
DIA icon
213
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46B
$228K 0.1%
1,508
-1,794
-54% -$274K
EOG icon
214
EOG Resources
EOG
$76.7B
$226K 0.1%
+2,668
New +$207K
QEPM
215
DELISTED
QEP MIDSTREAM PARTNERS LP UIT REPSTG LTD PARTSP INT (DE)
QEPM
$226K 0.1%
+10,000
New +$224K
CVY icon
216
Invesco Zacks Multi-Asset Income ETF
CVY
$123M
$223K 0.1%
+9,417
New +$224K
TTP
217
DELISTED
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
$222K 0.1%
2,000
-700
-26% -$79.6K
HK
218
DELISTED
Halcon Resources Corporation
HK
$222K 0.1%
291
+148
+103% +$135K
WELL icon
219
Welltower
WELL
$173B
$220K 0.1%
3,533
+533
+18% +$33.9K
NEM icon
220
Newmont
NEM
$102B
$219K 0.1%
7,807
+251
+3% +$7.44K
ZTS icon
221
Zoetis
ZTS
$31.1B
$215K 0.1%
6,923
-81
-1% -$2.48K
MRO
222
DELISTED
Marathon Oil Corporation
MRO
$215K 0.1%
6,157
+38
+0.6% +$1.35K
HQL
223
abrdn Life Sciences Investors
HQL
$600M
$214K 0.1%
+11,114
New +$213K
EGP icon
224
EastGroup Properties
EGP
$11.6B
$213K 0.1%
3,600
– –
BHP icon
225
BHP
BHP
$215B
$210K 0.1%
+3,728
New +$203K
7 8
9
10 11

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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
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
Northstar Investment Advisors Denver, Colorado $755M AUM 37.8% 1-Year Est. Return

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.