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Institutional Investment Manager
Regal Investment Advisors LLC
Regal Investment Advisors LLC (CIK: 0001559789) incorporated in Michigan, located at 2687 44th Street Se, Kentwood, MI. Institutional holdings reported to the SEC.
Institutional Holdings (2014Q1)
Original 13F HR (0001398344-14-002246) filed in 2014.04.18
#
Name
Shares
Value ($)
%
Options
Notes
451 LIBERTY ALL STAR EQUITY FUND SH BEN INT 5,032 30 0.01%
452 VALMONT INDS INC 200 30 0.01%
453 Vanguard Natural Res LLC 1,000 30 0.01%
454 FIRST TR SML CP CORE ALPHA F 600 29 0.01%
455 RANDGOLD RES LTD 380 29 0.01%
456 POWERSHARES ETF TRUST 760 28 0.01%
457 FIRST SOLAR INC 400 28 0.01%
458 ISHARES TR 266 28 0.01%
459 SEAGATE TECHNOLOGY PLC 500 28 0.01%
460 DST SYS INC DEL 300 28 0.01%
461 RAYTHEON CO 285 28 0.01%
462 Rackspace Hosting 868 28 0.01%
463 ISHARES TR 300 28 0.01%
464 CANADIAN NATL RY CO 480 27 0.01%
465 El Paso Partners Pipeline 895 27 0.01%
466 EDWARDS LIFESCIENCES CORP 370 27 0.01%
467 ISHARES 600 27 0.01%
468 NOKIA CORP 3,600 26 0.01%
469 BUSINESS DEV CORP OF AMER COM 2,300 26 0.01%
470 RSX - Market Vectors Russia ETF 1,078 26 0.01%
471 VANGUARD INTL EQUITY INDEX F 521 26 0.01%
472 DIAGEO P L C 207 26 0.01%
473 WindStream Corp (win) 3,200 26 0.01%
474 VANGUARD INTL EQUITY INDEX F 441 26 0.01%
475 VERA BRADLEY INC 920 25 0.01%
476 POWERSHARES ETF TR II 810 25 0.01%
477 METLIFE INC 480 25 0.01%
478 NORDSTROM INC 400 25 0.01%
479 FIRST TR SR FLG RTE INCM FD 1,700 25 0.01%
480 MYRIAD GENETICS INC 728 25 0.01%
481 ISHARES INC 520 25 0.01%
482 Alliance Data Systems 91 25 0.01%
483 Allergan Inc 199 25 0.01%
484 SPDR SERIES TRUST 400 24 0.01%
485 SOUTHERN COPPER CORP 837 24 0.01%
486 PENNEY J C INC 2,767 24 0.01%
487 TRINITY INDS INC 338 24 0.01%
488 NATIONAL GRID PLC ADR 351 24 0.01%
489 RAYMOND JAMES FINANC 435 24 0.01%
490 IPG PHOTONICS CORP 341 24 0.01%
491 VALEANT PHARMACEUTICALS INTL 178 23 0.01%
492 WISDOMTREE TR 1,207 23 0.01%
493 HSBC USA INC NEW PFD D DEP 1/4 925 23 0.01%
494 AKAMAI TECHNOLOGIES INC 400 23 0.01%
495 GABELLI UTIL TR 3,400 23 0.01%
496 AK STL HLDG CORP 3,245 23 0.01%
497 PIMCO CORPORATE INCOME OPP 1,250 23 0.01%
498 WISDOMTREE TR 476 23 0.01%
499 NORTHEASTUTILITI 500 23 0.01%
500 MORGAN STANLEY CAP TR VI CAP S 900 23 0.01%
Page 10 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 119,690 4,908 2.08%
2 SPDR SERIES TRUST 100,360 4,147 1.76%
3 VANGUARD INDEX FDS 58,544 4,134 1.75%
4 SPDR S&P 500 ETF TR 21,558 4,032 1.71%
5 APPLE INC 7,078 3,799 1.61%
6 ISHARES TR 51,467 3,459 1.46%
7 AT&T INC 92,953 3,260 1.38%
8 SPDR SER TR 92,709 2,871 1.22%
9 ISHARES TR 71,465 2,789 1.18%
10 ISHARES TR 23,431 2,726 1.15%
11 SELECT SECTOR SPDR TR 121,889 2,723 1.15%
12 ISHARES TR 14,322 2,695 1.14%
13 VANGUARD TAX-MANAGED FDS 64,799 2,674 1.13%
14 SELECT SECTOR SPDR TR 55,220 2,611 1.11%
15 VANGUARD INDEX FDS 32,749 2,558 1.08%
16 VANGUARD MALVERN FDS 50,516 2,492 1.05%
17 POWERSHARES QQQ TRUST 28,311 2,482 1.05%
18 ADVANCE AUTO PARTS INC 19,377 2,451 1.04%
19 NEWMARKET CORP 6,225 2,433 1.03%
20 ISHARES TR 21,294 2,392 1.01%
21 ISHARES TR 27,557 2,385 1.01%
22 ALLIANCE RES PARTNER L P 28,148 2,368 1.00%
23 SPDR SERIES TRUST 54,892 2,329 0.99%
24 VANGUARD BD INDEX FDS 27,951 2,239 0.95%
25 CONOCOPHILLIPS 31,690 2,229 0.94%
26 MASTERCARD INCORPORATED 29,648 2,215 0.94%
27 COMPUTER PROGRAMS & SYS INC COM 33,719 2,178 0.92%
28 ISHARES TR 18,501 2,164 0.92%
29 VARIAN MED SYS INC 25,691 2,158 0.91%
30 PRICELINE GRP INC 1,754 2,091 0.89%
31 UNITED THERAPEUTICS CORP DEL 22,236 2,091 0.89%
32 SOUTHWEST AIRLS CO 87,500 2,066 0.87%
33 CREDIT ACCEP CORP MICH 14,445 2,053 0.87%
34 NATUS MEDICAL INC DEL 78,841 2,034 0.86%
35 CUMMINS INC 13,556 2,020 0.86%
36 INTER PARFUMS INC COM 55,716 2,017 0.85%
37 LEAR CORP 24,070 2,015 0.85%
38 VANGUARD INTL EQUITY INDEX F 34,186 2,015 0.85%
39 FACTSET RESH SYS INC 18,647 2,010 0.85%
40 JPMORGAN CHASE & CO 42,489 1,977 0.84%
41 ESTERLINE TECHNOLOGIES CORP 18,432 1,964 0.83%
42 ISHARES TR 3YRTB ETF 20,376 1,953 0.83%
43 GAP 48,696 1,951 0.83%
44 RPX CORP 118,106 1,923 0.81%
45 CELGENE CORP 13,763 1,921 0.81%
46 OLD DOMINION FGHT LINES INC 33,474 1,899 0.80%
47 ABBVIE INC 36,868 1,895 0.80%
48 SALIX PHARMACEUTICALS INC 18,111 1,876 0.79%
49 GENERAL ELECTRIC CO 70,461 1,824 0.77%
50 BIOGEN INC 5,699 1,743 0.74%
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