Regal Investment Advisors LLC's Q4 2023 13F: 71 new positions, 24 exits
Form 13F-HR for the quarter ended Dec 31, 2023 · filed Feb 14, 2024 · 544 reported positions · accession 0001559789-24-000001
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| New | INVESCO QQQ TR (QQQ) | — | 2.0% | +2.0 pts | +64,455 sh | new |
| New | JANUS DETROIT STR TR (JAAA) | — | 0.7% | +0.7 pts | +180K sh | new |
| Reduced | ISHARES TR (IQLT) | 0.7% | 0.1% | −0.7 pts | −230K sh | −92% |
| Increased | ISHARES TR (HEFA) | 0.2% | 0.8% | +0.6 pts | +255K sh | +300% |
| Increased | ISHARES TR (GOVT) | 0.3% | 0.9% | +0.6 pts | +346K sh | +242% |
| Increased | INNOVATOR ETFS TR (BUFF) | 0.3% | 0.8% | +0.5 pts | +187K sh | +227% |
| New | FIRST TR EXCHANGE TRADED FD (EDOW) | — | 0.5% | +0.5 pts | +216K sh | new |
| Reduced | ISHARES TR (IEI) | 0.5% | 0.0% | −0.4 pts | −43,751 sh | −92% |
| Reduced | JANUS DETROIT STR TR (JMBS) | 0.4% | 0.0% | −0.4 pts | −106K sh | −94% |
| Reduced | FIRST TR EXCHANGE TRADED FD (FXO) | 0.5% | 0.1% | −0.4 pts | −111K sh | −74% |
| Reduced | SSGA ACTIVE ETF TR (SRLN) | 1.0% | 0.5% | −0.5 pts | −111K sh | −40% |
| Reduced | FIRST TR EXCHANGE TRADED FD (FXH) | 0.5% | 0.1% | −0.4 pts | −41,749 sh | −75% |
| Increased | INVESCO EXCHANGE TRADED FD T (PPA) | 0.0% | 0.3% | +0.3 pts | +44,953 sh | +1671% |
| Reduced | VANGUARD WHITEHALL FDS (VYMI) | 0.7% | 0.3% | −0.3 pts | −59,521 sh | −47% |
| Reduced | ISHARES TR (PFF) | 1.2% | 0.8% | −0.4 pts | −123K sh | −27% |
| Increased | EOG RES INC (EOG) | 0.1% | 0.3% | +0.3 pts | +31,031 sh | +618% |
| Reduced | VANGUARD SCOTTSDALE FDS (VCLT) | 0.6% | 0.3% | −0.3 pts | −46,496 sh | −49% |
| Reduced | ISHARES TR (ITOT) | 1.9% | 1.6% | −0.3 pts | −35,392 sh | −15% |
| New | ISHARES TR (IGIB) | — | 0.3% | +0.3 pts | +67,319 sh | new |
| Reduced | ISHARES TR (IGLB) | 0.3% | 0.0% | −0.3 pts | −65,412 sh | −94% |
| Exited | ISHARES TR (IBTD) | 0.2% | — | −0.2 pts | −111K sh | −100% |
| Exited | NUTRIEN LTD (NTR) | 0.2% | — | −0.2 pts | −41,342 sh | −100% |
| Increased | ISHARES TR (OEF) | 0.1% | 0.3% | +0.2 pts | +11,845 sh | +152% |
| Reduced | VANGUARD SCOTTSDALE FDS (VCIT) | 0.4% | 0.2% | −0.2 pts | −31,355 sh | −52% |
| Reduced | KRANESHARES TR (IVOL) | 0.4% | 0.2% | −0.2 pts | −116K sh | −54% |
| New | FIRST TR EXCHNG TRADED FD VI (QMAR) | — | 0.2% | +0.2 pts | +87,345 sh | new |
| New | ON SEMICONDUCTOR CORP (ON) | — | 0.2% | +0.2 pts | +25,076 sh | new |
| Reduced | SCHWAB STRATEGIC TR (SCHD) | 1.6% | 1.3% | −0.2 pts | −27,278 sh | −11% |
| Reduced | ISHARES TR (EFG) | 0.5% | 0.4% | −0.2 pts | −19,561 sh | −27% |
| New | ISHARES INC (EMXC) | — | 0.1% | +0.1 pts | +32,496 sh | new |
| Increased | BERKSHIRE HATHAWAY INC DEL (BRK-B) | 0.4% | 0.5% | +0.1 pts | +4,649 sh | +32% |
| Increased | BUILDERS FIRSTSOURCE INC (BLDR) | 0.3% | 0.4% | +0.2 pts | +8,916 sh | +38% |
| Increased | JPMORGAN CHASE & CO (JPM) | 0.3% | 0.4% | +0.1 pts | +8,677 sh | +37% |
| Reduced | ALPS ETF TR (AMLP) | 0.2% | 0.1% | −0.1 pts | −33,599 sh | −57% |
| Reduced | ISHARES TR (SHV) | 0.2% | 0.1% | −0.1 pts | −12,934 sh | −62% |
| Reduced | AMPLIFY ETF TR (DIVO) | 0.5% | 0.3% | −0.1 pts | −36,063 sh | −22% |
| Reduced | VANGUARD INDEX FDS (VOO) | 1.0% | 0.9% | −0.1 pts | −2,948 sh | −10% |
| Increased | GENERAC HLDGS INC (GNRC) | 0.2% | 0.3% | +0.1 pts | +9,893 sh | +41% |
| Reduced | ISHARES TR (IBTE) | 0.2% | 0.1% | −0.1 pts | −51,004 sh | −55% |
| Reduced | ISHARES TR (SHY) | 0.5% | 0.4% | −0.2 pts | −14,806 sh | −19% |
| Reduced | ISHARES TR (USMV) | 0.4% | 0.3% | −0.1 pts | −14,758 sh | −22% |
| Exited | SHIFT4 PMTS INC (FOUR) | 0.1% | — | −0.1 pts | −17,634 sh | −100% |
| Increased | FIDELITY NATL INFORMATION SV (FIS) | 0.2% | 0.3% | +0.1 pts | +18,501 sh | +40% |
| Increased | ISHARES TR (LQD) | 1.6% | 1.6% | 0.0 pts | +9,994 sh | +6% |
| Increased | CISCO SYS INC (CSCO) | 0.3% | 0.4% | 0.0 pts | +21,887 sh | +30% |
| Reduced | PIONEER NAT RES CO (PXD) | 0.3% | 0.1% | −0.1 pts | −4,864 sh | −38% |
| Increased | VERIZON COMMUNICATIONS INC (VZ) | 0.5% | 0.6% | +0.1 pts | +27,156 sh | +15% |
| Increased | SELECT SECTOR SPDR TR (XLP) | 0.1% | 0.2% | +0.1 pts | +14,098 sh | +64% |
| New | ISHARES TR (IBTF) | — | 0.1% | +0.1 pts | +42,025 sh | new |
| Increased | ISHARES TR (IWP) | 0.0% | 0.1% | +0.1 pts | +9,198 sh | +249% |
The 50 largest of 543 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
Top 10 positions — 21.0% of the equity book
Changes in the top 10 this quarter: QQQ entered · ABBV left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | ISHARES TR (IVV) | 6.3% | 6.1% | |
| 2 | APPLE INC (AAPL) | 2.1% | 2.1% | |
| 3 | INVESCO QQQ TR (QQQ) | 0.0% | 2.0% | Entered the top 10 |
| 4 | MICROSOFT CORP (MSFT) | 1.8% | 1.9% | |
| 5 | ISHARES TR (ITOT) | 1.9% | 1.6% | |
| 6 | FIDELITY COMWLTH TR (ONEQ) | 1.6% | 1.6% | |
| 7 | ISHARES TR (LQD) | 1.6% | 1.6% | |
| 8 | SPDR S&P 500 ETF TR (SPY) | 1.6% | 1.5% | |
| 9 | SCHWAB STRATEGIC TR (SCHD) | 1.6% | 1.3% | |
| 10 | FIRST TR EXCHANGE-TRADED FD (FTCS) | 1.4% | 1.3% | |
| — | ABBVIE INC (ABBV) | 1.5% | 1.3% | 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 |
|---|---|---|---|---|---|
| Exited | INVESCO QQQ TR (QQQ) | Call | 79,417 | 0 | $0 |