Regal Investment Advisors LLC's Q3 2021 13F: 28 new positions, 31 exits
Form 13F-HR for the quarter ended Sep 30, 2021 · filed Nov 5, 2021 · 520 reported positions · accession 0001172661-21-002122
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Increased | ISHARES TR (TLT) | 0.1% | 0.3% | +0.2 pts | +14,274 sh | +204% |
| Increased | ISHARES TR (PFF) | 1.0% | 1.1% | +0.1 pts | +49,025 sh | +20% |
| Increased | ISHARES TR (ESGU) | 0.9% | 1.1% | +0.1 pts | +17,823 sh | +19% |
| New | KRANESHARES TR (KWEB) | — | 0.1% | +0.1 pts | +31,430 sh | new |
| Increased | VANGUARD INDEX FDS (VUG) | 1.0% | 1.2% | +0.1 pts | +5,068 sh | +14% |
| Exited | ROYAL CARIBBEAN GROUP (RCL) | 0.1% | — | −0.1 pts | −16,298 sh | −100% |
| Increased | ISHARES TR (TIP) | 0.3% | 0.4% | +0.1 pts | +11,127 sh | +54% |
| New | ALTICE USA INC (OPTU) | — | 0.1% | +0.1 pts | +67,397 sh | new |
| Increased | FIRST TR EXCHANGE TRADED FD (FXD) | 0.1% | 0.3% | +0.1 pts | +23,149 sh | +111% |
| New | ISHARES TR (IYG) | — | 0.1% | +0.1 pts | +6,781 sh | new |
| Exited | FIDELITY COVINGTON TRUST (FNCL) | 0.1% | — | −0.1 pts | −22,826 sh | −100% |
| Reduced | RENAISSANCE CAP GREENWICH FD (IPO) | 0.1% | 0.0% | −0.1 pts | −19,191 sh | −85% |
| New | SPDR SER TR (XRT) | — | 0.1% | +0.1 pts | +13,558 sh | new |
| Exited | MARRIOTT INTL INC NEW (MAR) | 0.1% | — | −0.1 pts | −8,373 sh | −100% |
| Increased | PFIZER INC (PFE) | 0.6% | 0.7% | +0.1 pts | +27,317 sh | +19% |
| New | CHARLES RIV LABS INTL INC (CRL) | — | 0.1% | +0.1 pts | +2,709 sh | new |
| Increased | VANGUARD WHITEHALL FDS (VYM) | 0.4% | 0.5% | +0.1 pts | +10,788 sh | +27% |
| Increased | ISHARES TR (EFG) | 0.4% | 0.4% | +0.1 pts | +10,219 sh | +31% |
| New | ISHARES TR (SHYG) | — | 0.1% | +0.1 pts | +23,205 sh | new |
| Reduced | FASTLY INC (FSLY) | 0.2% | 0.0% | −0.2 pts | −26,087 sh | −71% |
| Increased | FIRST TR EXCHANGE-TRADED FD (FTCS) | 2.2% | 2.2% | 0.0 pts | +13,949 sh | +5% |
| Exited | BARRICK GOLD CORP (ABX) | 0.1% | — | −0.1 pts | −48,224 sh | −100% |
| Exited | TAKE-TWO INTERACTIVE SOFTWAR (TTWO) | 0.1% | — | −0.1 pts | −5,593 sh | −100% |
| Reduced | ISHARES TR (MTUM) | 0.1% | 0.0% | −0.1 pts | −5,791 sh | −71% |
| Reduced | UNION PAC CORP (UNP) | 0.1% | 0.0% | −0.1 pts | −5,006 sh | −83% |
| Increased | ISHARES TR (IXN) | 0.2% | 0.3% | +0.1 pts | +17,235 sh | +43% |
| Reduced | ISHARES TR (HYG) | 0.2% | 0.1% | −0.1 pts | −11,135 sh | −49% |
| Increased | SCHWAB STRATEGIC TR (SCHD) | 1.0% | 1.0% | 0.0 pts | +12,970 sh | +10% |
| Increased | FIDELITY COMWLTH TR (ONEQ) | 1.5% | 1.5% | 0.0 pts | +16,794 sh | +6% |
| Reduced | ISHARES INC (ESGE) | 0.3% | 0.2% | −0.1 pts | −21,090 sh | −27% |
| Increased | NEWMONT CORP (NEM) | 0.0% | 0.1% | +0.1 pts | +15,926 sh | +297% |
| Increased | ISHARES TR (EFAV) | 0.2% | 0.3% | +0.1 pts | +11,117 sh | +47% |
| Increased | FIRST TR EXCHANGE TRADED FD (FPXI) | 0.9% | 0.9% | 0.0 pts | +13,052 sh | +10% |
| New | SERVICENOW INC (NOW) | — | 0.1% | +0.1 pts | +1,280 sh | new |
| Increased | BIOGEN INC (BIIB) | 0.1% | 0.1% | +0.1 pts | +2,784 sh | +127% |
| New | WYNN RESORTS LTD (WYNN) | — | 0.1% | +0.1 pts | +9,172 sh | new |
| Increased | VANGUARD SCOTTSDALE FDS (VCIT) | 0.2% | 0.3% | +0.1 pts | +8,203 sh | +42% |
| Reduced | FIRST TR EXCHANGE TRADED FD (FXO) | 0.7% | 0.6% | −0.1 pts | −17,111 sh | −11% |
| Reduced | ISHARES TR (GOVT) | 0.6% | 0.5% | −0.1 pts | −27,807 sh | −13% |
| Reduced | ISHARES TR (IGSB) | 0.2% | 0.1% | −0.1 pts | −13,200 sh | −34% |
| Increased | JANUS DETROIT STR TR (JSMD) | 0.9% | 0.9% | 0.0 pts | +10,828 sh | +8% |
| Increased | EMERSON ELEC CO (EMR) | 0.8% | 0.8% | 0.0 pts | +7,374 sh | +9% |
| Increased | CVS HEALTH CORP (CVS) | 0.2% | 0.2% | +0.1 pts | +7,857 sh | +38% |
| Increased | JOHNSON & JOHNSON (JNJ) | 0.9% | 0.9% | 0.0 pts | +4,078 sh | +7% |
| Reduced | ISHARES TR (IVV) | 4.7% | 4.5% | −0.2 pts | −1,495 sh | −1% |
| Increased | ALTRIA GROUP INC (MO) | 0.3% | 0.3% | 0.0 pts | +14,060 sh | +22% |
| Increased | MEDTRONIC PLC (MDT) | 0.5% | 0.6% | 0.0 pts | +4,939 sh | +12% |
| Increased | MCDONALDS CORP (MCD) | 0.4% | 0.5% | +0.1 pts | +2,417 sh | +13% |
| Increased | ISHARES TR (ITOT) | 1.3% | 1.3% | 0.0 pts | +5,792 sh | +4% |
| Increased | SPDR S&P 500 ETF TR (SPY) | 1.6% | 1.6% | 0.0 pts | +1,318 sh | +4% |
The 50 largest of 526 changes, by size of the trade. Full holdings for this quarter.
Reported by the fund in its Form 13F filed with the SEC; holdings are as of the quarter-end report date and may have changed since. For informational purposes only — not investment advice or a recommendation to buy or sell any security. FilingExplorer is not affiliated with or endorsed by this fund. How this brief is compiled
† Security identifier (CUSIP) changed — read as one continuing position, not an exit and a new position:
- GENERAL ELECTRIC CO (GE): 369604103 → 369604301, 32,355 → 4,092 shares (share count changed with the identifier; not shown as a trade)
Top 10 positions — 19.5% of the equity book
No changes in the top 10 this quarter
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | ISHARES TR (IVV) | 4.7% | 4.5% | |
| 2 | FIRST TR EXCHANGE-TRADED FD (FTCS) | 2.2% | 2.2% | |
| 3 | APPLE INC (AAPL) | 1.9% | 1.9% | |
| 4 | ISHARES TR (LQD) | 1.9% | 1.8% | |
| 5 | MICROSOFT CORP (MSFT) | 1.7% | 1.7% | |
| 6 | SPDR S&P 500 ETF TR (SPY) | 1.6% | 1.6% | |
| 7 | FIDELITY COMWLTH TR (ONEQ) | 1.5% | 1.5% | |
| 8 | INVESCO QQQ TR (QQQ) | 1.6% | 1.5% | |
| 9 | ISHARES TR (USMV) | 1.4% | 1.4% | |
| 10 | ISHARES TR (ITOT) | 1.3% | 1.3% |
Weights are each position's reported value as a share of the fund's reported equity positions (options and principal-amount holdings excluded).
Option positions (puts and calls)
Reported separately from the positions above. The value a 13F reports for an option is that of the underlying shares, not the option itself.
| Activity | Security | Type | Shares before | Shares now | Reported value |
|---|---|---|---|---|---|
| New | KINGSOFT CLOUD HLDGS LTD (KC) | Call | 0 | 4,500 | $127K |
| New | ALIBABA GROUP HLDG LTD (BABA) | Call | 0 | 700 | $104K |