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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
MDY icon
201
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27B
$426K 0.12%
1,613
-1,931
-54% -$494K
GGZ
202
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$123M
$424K 0.12%
+40,667
New +$418K
XRX icon
203
Xerox
XRX
$348M
$421K 0.12%
11,525
+305
+3% +$10.8K
KMG
204
DELISTED
KMG Chemicals Inc
KMG
$420K 0.12%
21,000
-500
-2% -$9.07K
MMD
205
MainStay MacKay DefinedTerm Municipal Opportunities Fund
MMD
$283M
$418K 0.12%
23,000
+9,000
+64% +$163K
ALL icon
206
Allstate
ALL
$64.8B
$415K 0.11%
5,909
– –
DUK icon
207
Duke Energy
DUK
$99.7B
$412K 0.11%
4,927
-14,294
-74% -$1.15M
TMO icon
208
Thermo Fisher Scientific
TMO
$196B
$412K 0.11%
3,286
– –
BPL
209
DELISTED
Buckeye Partners, L.P.
BPL
$409K 0.11%
5,400
– –
NI icon
210
NiSource
NI
$22.3B
$407K 0.11%
24,404
– –
AGG icon
211
iShares Core US Aggregate Bond ETF
AGG
$138B
$402K 0.11%
3,649
+1,807
+98% +$199K
NVS icon
212
Novartis
NVS
$292B
$390K 0.11%
4,699
+186
+4% +$15.4K
YUM icon
213
Yum! Brands
YUM
$40.7B
$380K 0.11%
7,251
+342
+5% +$17.8K
GLW icon
214
Corning
GLW
$133B
$379K 0.1%
16,528
– –
MRD
215
DELISTED
MEMORIAL RESOURCE DEV CORP COM STK (DE)
MRD
$379K 0.1%
21,000
+9,000
+75% +$201K
BAC icon
216
Bank of America
BAC
$432B
$377K 0.1%
21,081
-200
-0.9% -$3.42K
PAYX icon
217
Paychex
PAYX
$39.4B
$374K 0.1%
8,097
+178
+2% +$8.22K
GER
218
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
$373K 0.1%
2,922
-1,578
-35% -$248K
LINE
219
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$373K 0.1%
36,854
-16,535
-31% -$340K
VTRS icon
220
Viatris
VTRS
$19.8B
$372K 0.1%
6,604
-1,405
-18% -$75.4K
META icon
221
Meta Platforms (Facebook)
META
$1.59T
$371K 0.1%
4,750
+300
+7% +$22.9K
MMM icon
222
3M
MMM
$89.1B
$370K 0.1%
2,696
+67
+3% +$8.6K
BABA icon
223
Alibaba
BABA
$279B
$369K 0.1%
+3,550
New +$364K
IGSB icon
224
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$22.9B
$369K 0.1%
7,016
– –
FIF
225
DELISTED
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIF
$369K 0.1%
+15,500
New +$359K
7 8
9
10 11

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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 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.