0001525212-18-000004.txt : 20181102 0001525212-18-000004.hdr.sgml : 20181102 20181102145355 ACCESSION NUMBER: 0001525212-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181102 DATE AS OF CHANGE: 20181102 EFFECTIVENESS DATE: 20181102 FILER: COMPANY DATA: COMPANY CONFORMED NAME: USCA RIA LLC CENTRAL INDEX KEY: 0001525212 IRS NUMBER: 000000000 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14897 FILM NUMBER: 181156665 BUSINESS ADDRESS: STREET 1: 1330 POST OAK BLVD., SUITE 900 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 713-366-0522 MAIL ADDRESS: STREET 1: 1330 POST OAK BLVD., SUITE 900 CITY: HOUSTON STATE: TX ZIP: 77056 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001525212 XXXXXXXX 09-30-2018 09-30-2018 USCA RIA LLC

1330 POST OAK BLVD., SUITE 900 HOUSTON TX 77056

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TOTL RECOM55608D10173934770SHSOLE 3477000MACYS INCCOM55616P10490225961SHSOLE 2596100MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP559080106133019647SHSOLE 1964700MAIN STREET CAPITAL CORPCOM56035L10412285319079SHSOLE 31907900MAINSTAY MACKAY DEFINDTRM MUCOM56064K100191897633SHSOLE 9763300MANITEX INTL INCCOM56342010818417496SHSOLE 1749600MARATHON PETE CORPCOM56585A10295611960SHSOLE 1196000MARSH & MCLENNAN COS INCCOM5717481022282755SHSOLE 275500MASTERCARD INCORPORATEDCL A57636Q104384917291SHSOLE 1729100MCDONALDS CORPCOM580135101297717794SHSOLE 1779400MEDTRONIC PLCSHSG5960L103406441317SHSOLE 4131700MERCK & CO INCCOM58933Y105607685652SHSOLE 8565200METLIFE INCCOM59156R1086075130039SHSOLE 13003900MGM GROWTH PPTYS LLCCL A COM55303A1052588736SHSOLE 873600MICRON TECHNOLOGY INCCOM59511210366714750SHSOLE 1475000MICROSOFT CORPCOM59491810416992148569SHSOLE 14856900MONDELEZ INTL INCCL A60920710571516640SHSOLE 1664000MOODYS CORPCOM6153691052851705SHSOLE 170500MOSAIC CO NEWCOM61945C10347114496SHSOLE 1449600NETFLIX INCCOM64110L1067191922SHSOLE 192200NEW GOLD INC CDACOM6445351064252584SHSOLE 5258400NEW RESIDENTIAL INVT CORPCOM NEW64828T20136020177SHSOLE 2017700NEWELL BRANDS INCCOM651229106166181822SHSOLE 8182200NEXTERA ENERGY INCCOM65339F101312718660SHSOLE 1866000NIKE INCCL B6541061036607792SHSOLE 779200NOKIA CORPSPONSORED ADR65490220417631521SHSOLE 3152100NORFOLK SOUTHERN CORPCOM6558441085813220SHSOLE 322000NORTHROP GRUMMAN CORPCOM666807102326810296SHSOLE 1029600NORTHWEST NAT GAS COCOM6676551044016000SHSOLE 600000NOVARTIS A GSPONSORED ADR66987V109286733273SHSOLE 3327300NOVO-NORDISK A SADR6701002053497401SHSOLE 740100NUCOR CORPCOM670346105265241800SHSOLE 4180000NUTRIEN LTDCOM67077M108117620390SHSOLE 2039000NUVEEN AMT FREE QLTY MUN INCCOM67065710575359450SHSOLE 5945000NUVEEN BUILD AMER BD FDCOM67074C10367633794SHSOLE 3379400NUVEEN INT DUR QUAL MUN TRMCOM67067710397178854SHSOLE 7885400NUVEEN INTER DURATION MN TMFCOM6706711061546123767SHSOLE 12376700NUVEEN PFD & INCM SECURTIESCOM67072C10513515325SHSOLE 1532500NUVEEN TEXAS QLTY MUN INCMECOM67098310549840030SHSOLE 4003000NVIDIA CORPCOM67066G104434115447SHSOLE 1544700NXP SEMICONDUCTORS N VCOMN6596X1092352750SHSOLE 275000OAKTREE CAP GROUP LLCUNIT CL A674001201156537792SHSOLE 3779200OASIS PETE INC NEWCOM67421510814610298SHSOLE 1029800OCCIDENTAL PETE CORP DELCOM674599105327239819SHSOLE 3981900OCH ZIFF CAP MGMT GROUPCL A67551U1053624647SHSOLE 2464700OHA INVT CORPCOM67091U1022516526SHSOLE 1652600OMEGA HEALTHCARE INVS INCCOM681936100148545326SHSOLE 4532600ONE LIBERTY PPTYS INCCOM6824061032338372SHSOLE 837200ONEOK INC NEWCOM6826801033194705SHSOLE 470500ORACLE CORPCOM68389X105357769377SHSOLE 6937700PACCAR INCCOM693718108112816545SHSOLE 1654500PACKAGING CORP AMERCOM695156109393035824SHSOLE 3582400PARSLEY ENERGY INCCL A70187710237612850SHSOLE 1285000PAYCHEX INCCOM704326107114115495SHSOLE 1549500PAYPAL HLDGS INCCOM70450Y103228626025SHSOLE 2602500PEPSICO INCCOM713448108125711243SHSOLE 1124300PFIZER INCCOM71708110312208277008SHSOLE 27700800PG&E CORPCOM69331C1084509782SHSOLE 978200PHILIP MORRIS INTL INCCOM718172109433953208SHSOLE 5320800PHILLIPS 66COM7185461044023570SHSOLE 357000PIMCO CORPORATE & INCOME OPPCOM72201B10127715491SHSOLE 1549100PIONEER NAT RES COCOM7237871073892234SHSOLE 223400PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN726503105152761045SHSOLE 6104500PPL CORPCOM69351T1063262111489SHSOLE 11148900PRAXAIR INCCOM74005P1043902424SHSOLE 242400PROCTER AND GAMBLE COCOM7427181099166110130SHSOLE 11013000PROGRESSIVE CORP OHIOCOM743315103314944334SHSOLE 4433400PROLOGIS INCCOM74340W1032553768SHSOLE 376800PROSHARES TRLONG ONLINE SHRT74347B37562213059SHSOLE 1305900PROSHARES TRPSHS LC COR PLUS74347R2482603595SHSOLE 359500PROSPECT CAPITAL CORPORATIONNOTE 4.950% 7/174348TAR32525000SHSOLE 2500000PROSPERITY BANCSHARES INCCOM7436061056249000SHSOLE 900000PRUDENTIAL FINL INCCOM744320102945593320SHSOLE 9332000PUBLIC STORAGECOM74460D1097963947SHSOLE 394700PUBLIC SVC ENTERPRISE GROUPCOM744573106472289456SHSOLE 8945600QUALCOMM INCCOM7475251038296115174SHSOLE 11517400RANGE RES CORPCOM75281A10949529149SHSOLE 2914900RAYTHEON COCOM NEW755111507515624950SHSOLE 2495000REALITY SHS ETF TRNSD NXGN ECO ETF75605A702112347428SHSOLE 4742800REGIONS FINL CORP NEWCOM7591EP100105357375SHSOLE 5737500ROCKWELL COLLINS INCCOM7743411012631870SHSOLE 187000ROPER TECHNOLOGIES INCCOM77669610610383504SHSOLE 350400ROYAL DUTCH SHELL PLCSPON ADR B7802591072333289SHSOLE 328900ROYAL DUTCH SHELL PLCSPONS ADR A780259206399058562SHSOLE 5856200RYANAIR HLDGS PLCSPONSORED ADR NE783513203221523067SHSOLE 2306700SABINE ROYALTY TRUNIT BEN INT78568810266315700SHSOLE 1570000SALESFORCE COM INCCOM79466L302303719100SHSOLE 1910000SALIENT MIDSTREAM & MLP FDSH BEN INT79471V10519018635SHSOLE 1863500SANOFISPONSORED ADR80105N10562113895SHSOLE 1389500SCHLUMBERGER LTDCOM8068571084978155SHSOLE 815500SCHWAB CHARLES CORP NEWCOM808513105138528186SHSOLE 2818600SEI INVESTMENTS COCOM784117103272144528SHSOLE 4452800SELECT SECTOR SPDR TRENERGY81369Y5066098043SHSOLE 804300SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407387333039SHSOLE 3303900SELECT SECTOR SPDR TRSBI CONS STPLS81369Y30870613084SHSOLE 1308400SELECT SECTOR SPDR TRSBI INT-FINL81369Y605195270760SHSOLE 7076000SELECT SECTOR SPDR TRSBI INT-INDS81369Y7046247963SHSOLE 796300SELECT SECTOR SPDR TRSBI INT-UTILS81369Y88677214669SHSOLE 1466900SELECT SECTOR SPDR TRTECHNOLOGY81369Y80378810457SHSOLE 1045700SERVICENOW INCCOM81762P1023912000SHSOLE 200000SHIRE PLCSPONSORED ADR82481R106342518892SHSOLE 1889200SIMON PPTY GROUP INC NEWCOM828806109782944292SHSOLE 4429200SNAP ON INCCOM833034101296116128SHSOLE 1612800SOUTH JERSEY INDS INCCOM8385181082296500SHSOLE 650000SOUTHERN COCOM84258710753512263SHSOLE 1226300SOUTHWEST AIRLS COCOM844741108200432095SHSOLE 3209500SPDR DOW JONES INDL AVRG ETFUT SER 178467X10910754066SHSOLE 406600SPDR GOLD TRUSTGOLD SHS78463V107372733056SHSOLE 3305600SPDR S&P 500 ETF TRTR UNIT78462F1031418348787SHSOLE 4878700SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107376210238SHSOLE 1023800SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A3592434500SHSOLE 450000SPDR SERIES TRUSTPRTFLO S&P500 GW78464A409356593227SHSOLE 9322700SPDR SERIES TRUSTPRTFLO S&P500 VL78464A50863020233SHSOLE 2023300SPDR SERIES TRUSTS&P 600 SMCP GRW78464A201364253961SHSOLE 5396100SPDR SERIES TRUSTS&P BIOTECH78464A8705425658SHSOLE 565800SPDR SERIES TRUSTS&P DIVID ETF78464A7638628802SHSOLE 880200SPDR SERIES TRUSTS&P REGL BKG78464A6982874835SHSOLE 483500SPOTIFY TECHNOLOGY S ASHSL8681T1025382974SHSOLE 297400SPROTT PHYSICAL GOLD & SILVETR UNIT85208R10112010250SHSOLE 1025000SPROTT PHYSICAL GOLD TRUSTUNIT85207H10416817565SHSOLE 1756500SPROTT PHYSICAL SILVER TRTR UNIT85207K10710519866SHSOLE 1986600SQUARE INCCL A852234103235123750SHSOLE 2375000SSGA ACTIVE ETF TRBLKSTN GSOSRLN78467V60892119452SHSOLE 1945200STANLEY BLACK & DECKER INCCOM854502101283719373SHSOLE 1937300STARBUCKS CORPCOM855244109159728096SHSOLE 2809600STATE STR CORPCOM8574771032883439SHSOLE 343900STRYKER CORPCOM8636671015713211SHSOLE 321100SUMMIT HOTEL PPTYS INCCOM86608210014210500SHSOLE 1050000SUN CMNTYS INCCOM866674104102510097SHSOLE 1009700TARGET CORPCOM87612E106735183340SHSOLE 8334000TELEDYNE TECHNOLOGIES INCCOM8793601053801542SHSOLE 154200TELEFONICA S ASPONSORED ADR8793822088911378SHSOLE 1137800TELLURIAN INC NEWCOM87968A10458665340SHSOLE 6534000TEXAS INSTRS INCCOM882508104149013884SHSOLE 1388400THERMO FISHER SCIENTIFIC INCCOM88355610210204181SHSOLE 418100TORCHLIGHT ENERGY RES INCCOM89102U103365380000SHSOLE 38000000TOTAL S ASPONSORED ADR89151E1093064747SHSOLE 474700TRACTOR SUPPLY COCOM892356106310334146SHSOLE 3414600TRAVELERS COMPANIES INCCOM89417E109346826733SHSOLE 2673300TWENTY FIRST CENTY FOX INCCL A90130A1014619942SHSOLE 994200TWITTER INCCOM90184L10291532133SHSOLE 3213300TYSON FOODS INCCL A902494103188631683SHSOLE 3168300U S SILICA HLDGS INCCOM90346E10322011700SHSOLE 1170000UBS GROUP AGSHSH4209710731620069SHSOLE 2006900UNION PAC CORPCOM9078181088335114SHSOLE 511400UNITED CONTL HLDGS INCCOM9100471092582900SHSOLE 290000UNITED PARCEL SERVICE INCCL B911312106809369317SHSOLE 6931700UNITED TECHNOLOGIES CORPCOM913017109324923241SHSOLE 2324100UNITEDHEALTH GROUP INCCOM91324P10224289127SHSOLE 912700UNIVERSAL DISPLAY CORPCOM91347P105153413010SHSOLE 1301000USD PARTNERS LPCOM UT REP LTD90331810322223000SHSOLE 2300000VALE S AADR91912E10543429249SHSOLE 2924900VALERO ENERGY CORP NEWCOM91913Y1002031783SHSOLE 178300VANECK VECTORS ETF TRAGRIBUSINESS ETF92189F7002603960SHSOLE 396000VANECK VECTORS ETF TRGOLD MINERS ETF92189F1063855208138SHSOLE 20813800VANECK VECTORS ETF TROIL SVCS ETF92189F71825210011SHSOLE 1001100VANGUARD ADMIRAL FDS INC500 VAL IDX FD9219327032041823SHSOLE 182300VANGUARD ADMIRAL FDS INCMIDCP 400 GRTH9219328693342307SHSOLE 230700VANGUARD ADMIRAL FDS INCMIDCP 400 VAL9219328444013116SHSOLE 311600VANGUARD BD INDEX FD INCSHORT TRM BOND9219378272383053SHSOLE 305300VANGUARD INDEX FDSGROWTH ETF922908736361822466SHSOLE 2246600VANGUARD INDEX FDSREAL ESTATE ETF9229085534555644SHSOLE 564400VANGUARD INDEX FDSSM CP VAL ETF9229086112131531SHSOLE 153100VANGUARD INDEX FDSSML CP GRW ETF9229085952271211SHSOLE 121100VANGUARD INDEX FDSTOTAL STK MKT922908769217514531SHSOLE 1453100VANGUARD INTL EQUITY INDEX FALLWRLD EX US9220427753586875SHSOLE 687500VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874101918131SHSOLE 1813100VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C8703414082SHSOLE 408200VEDANTA LTDSPONSORED ADR92242Y10021716929SHSOLE 1692900VERIZON COMMUNICATIONS INCCOM92343V1048430157892SHSOLE 15789200VIRTUS GLOBAL MULTI-SEC INCCOM92829B1011923145485SHSOLE 14548500VISA INCCOM CL A92826C839715947700SHSOLE 4770000WALGREENS BOOTS ALLIANCE INCCOM931427108207528464SHSOLE 2846400WALMART INCCOM931142103653969627SHSOLE 6962700WASTE CONNECTIONS INCCOM94106B1017399266SHSOLE 926600WATTS WATER TECHNOLOGIES INCCL A9427491023574300SHSOLE 430000WELLS FARGO CO NEWCOM9497461018154155131SHSOLE 15513100WESTERN ASSET HIGH INCM OPPCOM95766K1099620168SHSOLE 2016800WESTERN AST INFL LKD OPP & ICOM95766R1041494137816SHSOLE 13781600WESTERN GAS PARTNERS LPCOM UNIT LP IN9582541043417800SHSOLE 780000WESTROCK COCOM96145D105126923741SHSOLE 2374100WEYERHAEUSER COCOM962166104153247482SHSOLE 4748200WHEATON PRECIOUS METALS CORPCOM96287910233919377SHSOLE 1937700WILLIAMS COS INC DELCOM969457100189269574SHSOLE 6957400WISDOMTREE TRUS QTLY DIV GRT97717X66962013997SHSOLE 1399700WPX ENERGY INCCOM98212B10324612215SHSOLE 1221500WYNDHAM HOTELS & RESORTS INCCOM98311A105107019262SHSOLE 1926200XCEL ENERGY INCCOM98389B100276758601SHSOLE 5860100XYLEM INCCOM98419M1006398001SHSOLE 800100ZOETIS INCCL A98978V1035165631SHSOLE 563100