USCA RIA LLC

https://www.uscallc.com/ HOUSTON, TX Investment Advisor How do I update this listing?

Usca RIA is based out of Houston. Usca RIA is a large advisory firm with 5594 clients and discretionary assets under management (AUM) of $1,748,925,207 (Form ADV from 2019-10-09). Their last reported 13F filing for Q3 2019 included $1,017,246,000 in managed 13F securities and a top 10 holdings concentration of 14.93%. Usca RIA's largest holding is iShares Core U.S. Aggregate Bond ETF with shares held of 252,153. Usca RIA has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 39 13F filings

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68

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.017 Billion
  • Prior Market Value $985.129 Million
  • New Purchases32 stocks
  • Additional Purchases212 stocks
  • Sold out of28 stocks
  • Reduced holdings in128 stocks
  • Top 10 Holdings % 14.93 %
  • Turnover % [1]:13.27%
  • Turnover Alt % [2]: 9.07 %
  • Time Held Top20:1.95 quarters
  • Time Held Top10:2.40 quarters
  • Time Held All:13.46 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -2.38%
Performance Last 4 Quarters: 1.0%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR/A (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR/A (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR/A (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR/A (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR/A (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR/A (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

USCA RIA LLC
4444 WESTHEIMER SUITE G500
HOUSTON TX    77027
Country: United States

Business Phone: 713-366-0500
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: TX
Number of employees: 73
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 586,191,000
Total Number of Clients: 5594
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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USCA RIA LLC

ownership team - last updated 2019-09-13
Name Title Start Date Direct/Indirect % Ownership
U.S. CAPITAL ADVISORS LLC OWNER 07/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC SOLE MANAGING MEMBER direct 2013-10-01
CONDERA ADVISORS, LLC OWNER direct 2013-10-01
USCA RIA LLC OWNER direct 2009-10-01
USCA RIA LLC OWNER direct 2010-07-01
MENDENHALL, PATRICK, MICHAEL MANAGING PARTNER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC MANAGING PARTNER direct 2013-10-01
USCA RIA LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
USCA RIA LLC CHIEF EXECUTIVE OFFICER direct 2009-10-01
USCA RIA LLC MANAGING MEMBER indirect 2009-10-01
USCA RIA LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER/DESIGNATED OFFICER direct 2009-10-01
USCA RIA LLC CHIEF EXECUTIVE OFFICER indirect 2009-10-01
USCA RIA LLC MANAGING PARTNER direct 2010-07-01
SURPRENANT, THERESE GENERAL COUNSEL 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC GENERAL COUNSEL direct 2013-10-01
USCA RIA LLC GENERAL COUNSEL direct 2010-07-01
USCA RIA LLC GENERAL COUNSEL direct 2010-12-01
KING, DAVID, MICHAEL MANAGING PARTNER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC MANAGING PARTNER direct 2013-10-01
USCA RIA LLC MANAGING PARTNER direct 2011-01-01
ARNOLD, CHRISTOPHER, ROBERT CHIEF FINANCIAL OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALIENT ADVISORS, L.P. SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01
ENDOWMENT ADVISERS, L.P. SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01
SALIENT CAPITAL ADVISORS, LLC SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01
BOWLING, ELIZABETH, COURTNEY CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
USCA ASSET MANAGEMENT LLC CCO - MANAGING DIRECTOR COMPLIANCE/LEGAL direct 2017-08-01

USCA RIA LLC

ownership team - last updated 2019-06-13
Name Title Start Date Direct/Indirect % Ownership
U.S. CAPITAL ADVISORS LLC OWNER 07/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC SOLE MANAGING MEMBER direct 2013-10-01
CONDERA ADVISORS, LLC OWNER direct 2013-10-01
USCA RIA LLC OWNER direct 2009-10-01
USCA RIA LLC OWNER direct 2010-07-01
MENDENHALL, PATRICK, MICHAEL MANAGING PARTNER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC MANAGING PARTNER direct 2013-10-01
USCA RIA LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
USCA RIA LLC CHIEF EXECUTIVE OFFICER direct 2009-10-01
USCA RIA LLC MANAGING MEMBER indirect 2009-10-01
USCA RIA LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER/DESIGNATED OFFICER direct 2009-10-01
USCA RIA LLC CHIEF EXECUTIVE OFFICER indirect 2009-10-01
USCA RIA LLC MANAGING PARTNER direct 2010-07-01
SURPRENANT, THERESE GENERAL COUNSEL 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC GENERAL COUNSEL direct 2013-10-01
USCA RIA LLC GENERAL COUNSEL direct 2010-07-01
USCA RIA LLC GENERAL COUNSEL direct 2010-12-01
KING, DAVID, MICHAEL MANAGING PARTNER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC MANAGING PARTNER direct 2013-10-01
USCA RIA LLC MANAGING PARTNER direct 2011-01-01
ARNOLD, CHRISTOPHER, ROBERT CHIEF FINANCIAL OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALIENT ADVISORS, L.P. SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01
ENDOWMENT ADVISERS, L.P. SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01
SALIENT CAPITAL ADVISORS, LLC SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01
BOWLING, ELIZABETH, COURTNEY CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
USCA ASSET MANAGEMENT LLC CCO - MANAGING DIRECTOR COMPLIANCE/LEGAL direct 2017-08-01

USCA RIA LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
U.S. CAPITAL ADVISORS LLC OWNER 07/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC SOLE MANAGING MEMBER direct 2013-10-01
CONDERA ADVISORS, LLC OWNER direct 2013-10-01
USCA RIA LLC OWNER direct 2009-10-01
USCA RIA LLC OWNER direct 2010-07-01
MENDENHALL, PATRICK, MICHAEL MANAGING PARTNER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC MANAGING PARTNER direct 2013-10-01
USCA RIA LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
USCA RIA LLC CHIEF EXECUTIVE OFFICER direct 2009-10-01
USCA RIA LLC MANAGING MEMBER indirect 2009-10-01
USCA RIA LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER/DESIGNATED OFFICER direct 2009-10-01
USCA RIA LLC CHIEF EXECUTIVE OFFICER indirect 2009-10-01
USCA RIA LLC MANAGING PARTNER direct 2010-07-01
SURPRENANT, THERESE GENERAL COUNSEL 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC GENERAL COUNSEL direct 2013-10-01
USCA RIA LLC GENERAL COUNSEL direct 2010-07-01
USCA RIA LLC GENERAL COUNSEL direct 2010-12-01
KING, DAVID, MICHAEL MANAGING PARTNER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC MANAGING PARTNER direct 2013-10-01
USCA RIA LLC MANAGING PARTNER direct 2011-01-01
GOTT, STEVE, HOWELL CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STANFORD GROUP COMPANY SENIOR COMPLIANCE ASSOCIATE, CROP direct 2001-04-01
STANFORD GROUP COMPANY VICE PRESIDENT, CROP direct 2001-04-01
CONDERA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
USCA ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
ARNOLD, CHRISTOPHER, ROBERT CHIEF FINANCIAL OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALIENT ADVISORS, L.P. SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01
ENDOWMENT ADVISERS, L.P. SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01
SALIENT CAPITAL ADVISORS, LLC SR. DIRECTOR OF ACCOUNTING AND FINANCE AND PRINCIPAL direct 2016-01-01

USCA RIA LLC

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
SHUMBERG, IVANA, M CHIEF FINANCIAL OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC TREASURER / SECRETARY direct 2009-01-01
CONDERA ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2010-03-01
USCA ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2013-10-01
USCA RIA LLC CHIEF FINANCIAL OFFICER direct 2013-01-01
U.S. CAPITAL ADVISORS LLC OWNER 07/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC SOLE MANAGING MEMBER direct 2013-10-01
CONDERA ADVISORS, LLC OWNER direct 2013-10-01
USCA RIA LLC OWNER direct 2009-10-01
USCA RIA LLC OWNER direct 2010-07-01
MENDENHALL, PATRICK, MICHAEL MANAGING PARTNER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC MANAGING PARTNER direct 2013-10-01
USCA RIA LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
USCA RIA LLC CHIEF EXECUTIVE OFFICER direct 2009-10-01
USCA RIA LLC MANAGING MEMBER indirect 2009-10-01
USCA RIA LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER/DESIGNATED OFFICER direct 2009-10-01
USCA RIA LLC CHIEF EXECUTIVE OFFICER indirect 2009-10-01
USCA RIA LLC MANAGING PARTNER direct 2010-07-01
SURPRENANT, THERESE GENERAL COUNSEL 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC GENERAL COUNSEL direct 2013-10-01
USCA RIA LLC GENERAL COUNSEL direct 2010-07-01
USCA RIA LLC GENERAL COUNSEL direct 2010-12-01
KING, DAVID, MICHAEL MANAGING PARTNER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC MANAGING PARTNER direct 2013-10-01
USCA RIA LLC MANAGING PARTNER direct 2011-01-01
GOTT, STEVE, HOWELL CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STANFORD GROUP COMPANY SENIOR COMPLIANCE ASSOCIATE, CROP direct 2001-04-01
STANFORD GROUP COMPANY VICE PRESIDENT, CROP direct 2001-04-01
CONDERA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
USCA ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01

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