USCA RIA LLC Information

1330 POST OAK BLVD., SUITE 900, HOUSTON, Texas, 77056, (713) 366-0522

Report Date: 09/30/2014

Position Statistics

Total Positions 357
New Positions 62
Increased Positions 224
Decreased Positions 99
Positions with Activity 323
Sold Out Positions 33
Total Mkt Value (in $ millions) 323

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 3%
Capital Goods 3.84%
Conglomerates 0.48%
Consumer Cyclical 2.45%
Consumer/Non-Cyclical 7%
Energy 13.15%
Financial 20.69%
Healthcare 7.17%
Services 10.47%
Technology 12%
Transportation 2.12%
Utilities 14.22%

357 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
UBS AG JERSEY BRANCH 2XMN ALR MLP INF 1,112 50 4.76 19,815
COMCAST CORP NEW CL A SPL 1,072 33 3.15 19,145
CONNECTICUT WTR SVC INC COM 1,067 1,067 New 29,902
REPUBLIC SVCS INC COM 1,066 35 3.36 26,338
GENESIS ENERGY L P UNIT LTD PARTN 1,033 New 23,600
SUMMIT MIDSTREAM PARTNERS LP COM UNIT LTD 1,030 384 59.44 25,750
ROYAL DUTCH SHELL PLC SPONS ADR A 1,026 23 2.33 15,413
PRICE T ROWE GROUP INC COM 1,016 39 3.99 11,756
ABM INDS INC COM 1,014 171 20.36 36,077
NUVEEN BUILD AMER BD FD COM 1,003 1,003 New 48,046
GRAINGER W W INC COM 994 994 New 3,940
BRISTOL MYERS SQUIBB CO COM 992 20 2.10 16,325
DISCOVER FINL SVCS COM 987 987 New 15,186
ST JUDE MED INC COM 969 969 New 14,408
MONDELEZ INTL INC CL A 964 -6 (0.61) 26,364
SMUCKER J M CO COM NEW 951 951 New 9,266
VERIZON COMMUNICATIONS INC COM 950 -466 (32.89) 20,185
BP PLC SPONSORED ADR 942 204 27.63 24,593
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 934 -118 (11.25) 3,544
NUVEEN CORE EQUITY ALPHA FUND COM 934 934 New 53,222


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