Regal Investment Advisors LLC's Q1 2023 13F: 69 new positions, 41 exits

Form 13F-HR for the quarter ended Mar 31, 2023 · filed May 11, 2023 · 506 reported positions · accession 0001172661-23-002005

View the filing on SEC.gov

What changed this quarter

Activity Security Weight before Weight now Change Shares Shares %
Reduced ISHARES TR (STIP) 1.6% 0.5% −1.1 pts −110K sh −64%
Reduced ISHARES TR (USMV) 1.4% 0.5% −0.9 pts −118K sh −60%
Increased ISHARES TR (QUAL) 0.0% 0.8% +0.7 pts +64,929 sh +1772%
Reduced ISHARES TR (ESGU) 1.1% 0.5% −0.6 pts −74,278 sh −56%
Reduced FIRST TR EXCHNG TRADED FD VI (FIXD) 0.6% 0.0% −0.6 pts −137K sh −95%
New INVESCO EXCHANGE TRADED FD T (SPGP) — 0.5% +0.5 pts +68,761 sh new
New ISHARES TR (IEI) — 0.4% +0.4 pts +40,518 sh new
New ISHARES INC (IEMG) — 0.4% +0.4 pts +89,626 sh new
Exited WISDOMTREE TR (AGGY) 0.4% — −0.4 pts −89,169 sh −100%
Reduced ISHARES INC (EEMV) 0.4% 0.0% −0.4 pts −72,025 sh −93%
Increased FIRST TR EXCHNG TRADED FD VI (UCON) 0.4% 0.7% +0.3 pts +161K sh +102%
Increased ISHARES TR (IUSB) 0.9% 1.1% +0.2 pts +71,902 sh +37%
Increased JANUS DETROIT STR TR (JMBS) 0.1% 0.4% +0.3 pts +70,158 sh +273%
Increased SSGA ACTIVE ETF TR (SRLN) 0.5% 0.7% +0.2 pts +71,797 sh +57%
Increased ISHARES TR (EFG) 0.4% 0.7% +0.3 pts +30,674 sh +61%
Increased WISDOMTREE TR (DGRW) 0.8% 1.0% +0.2 pts +45,477 sh +32%
Reduced FIRST TR EXCHANGE-TRADED FD (SDVY) 0.8% 0.5% −0.3 pts −106K sh −35%
Increased ISHARES TR (IVV) 5.6% 5.7% +0.1 pts +6,835 sh +5%
New ISHARES TR (IGLB) — 0.2% +0.2 pts +46,213 sh new
Increased PHILLIPS 66 (PSX) 0.0% 0.2% +0.2 pts +23,647 sh +1049%
New GENERAC HLDGS INC (GNRC) — 0.2% +0.2 pts +20,644 sh new
Increased CBOE GLOBAL MKTS INC (CBOE) 0.0% 0.2% +0.2 pts +16,372 sh +852%
Exited ISHARES TR (SHYG) 0.2% — −0.2 pts −47,706 sh −100%
New ARTISAN PARTNERS ASSET MGMT (APAM) — 0.2% +0.2 pts +66,459 sh new
Increased ALPHABET INC (GOOG) 0.1% 0.3% +0.2 pts +20,216 sh +155%
Reduced RAYTHEON TECHNOLOGIES CORP (RTX) 0.3% 0.1% −0.2 pts −20,645 sh −77%
Reduced EOG RES INC (EOG) 0.3% 0.0% −0.2 pts −17,373 sh −83%
Increased FLEETCOR TECHNOLOGIES INC (FLT) 0.0% 0.2% +0.2 pts +9,436 sh +605%
Increased CISCO SYS INC (CSCO) 0.1% 0.3% +0.2 pts +37,364 sh +152%
Increased CAPRI HOLDINGS LIMITED (CPRI) 0.1% 0.2% +0.2 pts +41,377 sh +411%
Increased LIBERTY MEDIA CORP DEL (BATRA) 0.0% 0.2% +0.2 pts +55,831 sh +379%
Increased CME GROUP INC (CME) 0.0% 0.2% +0.2 pts +10,060 sh +403%
Increased VANGUARD INDEX FDS (VOO) 0.9% 1.0% +0.1 pts +4,985 sh +19%
Increased ISHARES TR (GOVT) 0.4% 0.5% +0.1 pts +76,888 sh +42%
Increased FIRST TR EXCH TRADED FD III (FPE) 0.2% 0.3% +0.1 pts +112K sh +104%
Exited CORTEVA INC (CTVA) 0.2% — −0.2 pts −27,226 sh −100%
Increased CVS HEALTH CORP (CVS) 0.1% 0.2% +0.1 pts +22,890 sh +167%
Reduced VANGUARD WHITEHALL FDS (VYMI) 1.0% 0.8% −0.2 pts −26,414 sh −15%
Increased PROCTER AND GAMBLE CO (PG) 1.2% 1.2% 0.0 pts +9,973 sh +12%
Increased J P MORGAN EXCHANGE TRADED F (JEPI) 0.1% 0.2% +0.1 pts +26,913 sh +118%
Increased ISHARES TR (ITOT) 1.8% 1.9% +0.1 pts +16,090 sh +7%
Increased INVESCO QQQ TR (QQQ) 1.5% 1.8% +0.3 pts +4,511 sh +8%
Increased ISHARES TR (SHY) 0.6% 0.6% +0.1 pts +17,422 sh +24%
Exited ZIMMER BIOMET HOLDINGS INC (ZBH) 0.1% — −0.1 pts −10,262 sh −100%
Exited CONSTELLATION BRANDS INC (STZ) 0.1% — −0.1 pts −5,538 sh −100%
Increased SCHWAB STRATEGIC TR (SCHD) 1.2% 1.2% 0.0 pts +18,698 sh +12%
Exited INGREDION INC (INGR) 0.1% — −0.1 pts −12,783 sh −100%
Increased ALTRIA GROUP INC (MO) 0.7% 0.8% 0.0 pts +28,392 sh +17%
Reduced VERTEX PHARMACEUTICALS INC (VRTX) 0.1% 0.0% −0.1 pts −3,970 sh −80%
Increased ISHARES TR (AGG) 0.3% 0.4% +0.1 pts +12,503 sh +34%

The 50 largest of 524 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

* Prior share counts adjusted or corrected for a stock split — changes are measured from the adjusted count:

  • NUTRIEN LTD (NTR): 27,940 shares as filed last quarter, 27,940 after adjustment → 31,089 now (prior share count corrected for a stock split)

† Security identifier (CUSIP) changed — read as one continuing position, not an exit and a new position:

  • LINDE PLC (LIN): G5494J103 → G54950103, 621 → 597 shares (share count changed with the identifier; not shown as a trade)

Top 10 positions — 20.9% of the equity book

Changes in the top 10 this quarter: QQQ entered · STIP left

# Security Weight before Weight now
1 ISHARES TR (IVV) 5.6% 5.7%
2 APPLE INC (AAPL) 1.8% 2.0%
3 ISHARES TR (ITOT) 1.8% 1.9%
4 FIDELITY COMWLTH TR (ONEQ) 1.7% 1.9%
5 INVESCO QQQ TR (QQQ) 1.5% 1.8% Entered the top 10
6 MICROSOFT CORP (MSFT) 1.6% 1.7%
7 ABBVIE INC (ABBV) 1.6% 1.6%
8 ISHARES TR (LQD) 1.6% 1.5%
9 SPDR S&P 500 ETF TR (SPY) 1.6% 1.5%
10 FIRST TR EXCHANGE-TRADED FD (FTCS) 1.5% 1.4%
— ISHARES TR (STIP) 1.6% 0.5% Left the top 10

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 INVESCO QQQ TR (QQQ) Put 0 16,600 $5.33M
Exited INVESCO QQQ TR (QQQ) Call 1,800 0 $0
Exited SOFI TECHNOLOGIES INC (SOFI) Call 17,600 0 $0
New TESLA INC (TSLA) Call 0 200 $41.5K