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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
+1.65%
1 Year Est. Return
+39.8%
3 Year Est. Return
+60.59%
5 Year Est. Return
+96.76%
10 Year Est. Return
–
AUM
$1.02B
AUM Growth
+$32.1M
Cap. Flow
+$22.5M
Cap. Flow %
2.21%
Top 10 Hldgs %
14.93%
Holding
481
New
35
Increased
212
Reduced
128
Closed
28

Top Buys

Rank Stock Value
1
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$7.31M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.11M
3
FTC icon
First Trust Large Cap Growth AlphaDEX Fund
FTC
+$3M
4
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$2.94M
5
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$2.25M

Top Sells

Rank Stock Value
1
MAIN icon
Main Street Capital
MAIN
+$6.08M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.38M
3
IJK icon
iShares S&P Mid-Cap 400 Growth ETF
IJK
+$3.99M
4
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.17M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$2.51M

Sector Composition

Rank Sector Weight
1 Financials 13.8%
2 Technology 11.17%
3 Healthcare 9.91%
4 Energy 9.17%
5 Industrials 8.45%
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
$26.9B
$1.3M 0.13%
3,689
-7,154
-66% -$2.51M
NIQ
202
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$1.27M 0.13%
93,154
+13,000
+16% +$177K
XMPT icon
203
VanEck CEF Muni Income ETF
XMPT
$219M
$1.27M 0.12%
46,005
+10,800
+31% +$296K
XBI icon
204
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$1.27M 0.12%
16,602
+800
+5% +$66.5K
AMLP icon
205
Alerian MLP ETF
AMLP
$13B
$1.26M 0.12%
27,681
+3,339
+14% +$158K
VGK icon
206
Vanguard FTSE Europe ETF
VGK
$29.8B
$1.26M 0.12%
23,547
-292
-1% -$15.6K
KTF
207
DWS Municipal Income Trust
KTF
$347M
$1.26M 0.12%
108,775
+4,200
+4% +$48.5K
BLUE
208
DELISTED
bluebird bio
BLUE
$1.24M 0.12%
1,040
+107
+11% +$163K
HYLS icon
209
First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF
HYLS
$1.61B
$1.22M 0.12%
25,215
+155
+0.6% +$7.47K
CELG
210
DELISTED
Celgene Corp
CELG
$1.19M 0.12%
11,950
-173
-1% -$16.4K
ADBE icon
211
Adobe
ADBE
$84.5B
$1.17M 0.11%
4,216
+346
+9% +$101K
F icon
212
Ford
F
$56.5B
$1.16M 0.11%
126,493
-114,252
-47% -$1.09M
FSK icon
213
FS KKR Capital
FSK
$2.96B
$1.16M 0.11%
49,525
+3,400
+7% +$79.7K
NTR icon
214
Nutrien
NTR
$32.8B
$1.15M 0.11%
23,023
-600
-3% -$30.6K
OKE icon
215
Oneok
OKE
$58.3B
$1.14M 0.11%
15,503
+360
+2% +$25.5K
DIA icon
216
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.6B
$1.14M 0.11%
4,238
-5
-0.1% -$1.33K
SRLN icon
217
State Street Blackstone Senior Loan ETF
SRLN
$5.3B
$1.13M 0.11%
24,474
-17
-0.1% -$784
SPYV icon
218
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
$35.7B
$1.11M 0.11%
34,864
+2,473
+8% +$77.9K
ANAT
219
DELISTED
American National Group, Inc. Common Stock
ANAT
$1.11M 0.11%
+9,005
New +$1.07M
BALL icon
220
Ball Corp
BALL
$16.5B
$1.11M 0.11%
+15,230
New +$1.13M
DOW icon
221
Dow Inc
DOW
$22.5B
$1.1M 0.11%
23,129
-18,112
-44% -$848K
UNH icon
222
UnitedHealth
UNH
$384B
$1.09M 0.11%
5,009
-516
-9% -$125K
MNDT
223
DELISTED
Mandiant, Inc. Common Stock
MNDT
$1.08M 0.11%
81,300
+1,150
+1% +$16.3K
UNP icon
224
Union Pacific
UNP
$181B
$1.08M 0.11%
6,673
+631
+10% +$106K
NTX
225
DELISTED
Nuveen Texas Quality Municipal Income Fund
NTX
$1.08M 0.11%
77,768
+9,853
+15% +$138K
7 8
9
10 11

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A
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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 Q3 2019 Portfolio in Review

As of Q3 2019, USCA RIA held 481 positions worth $1.02B, up 3.3% from $985M the previous quarter. Its ten largest holdings account for 15% of the portfolio.

USCA RIA's Q3 2019 filing shows 35 new, 212 increased, 128 reduced and 28 closed positions. Its largest new stake was iShares MSCI USA Min Vol Factor ETF: 64,925 shares worth $4.16M. The largest sale was Main Street Capital, an estimated $6.08M.

By sector, the portfolio is most concentrated in Financials at 14% of assets, down from 14% a quarter earlier, followed by Technology and Healthcare.

  • USCA RIA's largest Q3 2019 buy was iShares MSCI USA Min Vol Factor ETF: 64,925 shares worth $4.16M.
  • USCA RIA added most to iShares Core US Aggregate Bond ETF in Q3 2019, an estimated $7.31M increase.
  • USCA RIA's biggest Q3 2019 reduction was Main Street Capital, cutting an estimated $6.08M.
  • USCA RIA fully exited Twilio in Q3 2019, selling an estimated $1.46M.
  • USCA RIA's ten largest holdings make up 15% of its $1.02B portfolio in Q3 2019.
  • USCA RIA opened 35 new positions and closed 28 in Q3 2019.
  • USCA RIA's portfolio value rose 3.3% quarter-over-quarter to $1.02B.

Based on USCA RIA's 13F filing for Q3 2019, filed 31 Oct 2019.