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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
501 WISDOMTREE TR 1,207 23 0.01%
502 WISDOMTREE TR 476 23 0.01%
503 VALERO ENERGY CORP NEW 416 22 0.01%
504 NUVEEN PERFORMANCE PLUS MUNICIPAL FUND INC 1,500 22 0.01%
505 ENBRIDGE ENERGY PARTNERS L P 785 22 0.01%
506 AUTOZONE INC 41 22 0.01%
507 EXIDE TECHNOLOGIES 97,280 22 0.01%
508 NIKE INC 300 22 0.01%
509 VANGUARD INDEX FDS 219 22 0.01%
510 MSCI INC 501 22 0.01%
511 WORTHINGTON INDS INC 569 22 0.01%
512 TORO CO 353 22 0.01%
513 Market Vectors Agribusiness ET 400 22 0.01%
514 HEXCEL CORP NEW COM 488 21 0.01%
515 STURM RUGER & CO INC 345 21 0.01%
516 POWERSHS DB US DOLLAR INDEX 1,000 21 0.01%
517 Arris Group Inc 750 21 0.01%
518 Market Vectors Gold 910 21 0.01%
519 PHILLIPS EDISON & COINC 2,066 21 0.01%
520 VELOCITYSHARES DAILY INVERSE VIX SHORT TERM ETN 675 21 0.01%
521 ISHARES 425 21 0.01%
522 VANGUARD WORLD FD 200 21 0.01%
523 ANHEUSER BUSCH INBEV SA/NV 200 21 0.01%
524 CALAMOS GLOBAL TOTAL RETURN FD COM SH BEN INT 1,400 21 0.01%
525 SELECT SECTOR SPDR TR 225 20 0.01%
526 WISDOMTREE TRUST EUROPE SMCP DV ETF 325 20 0.01%
527 ROYAL GOLD INC 320 20 0.01%
528 EAGLE MATERIALS INC 230 20 0.01%
529 PETROLEO BRASILEIRO SA PETRO 1,525 20 0.01%
530 ARM HLDGS PLC 400 20 0.01%
531 COVIDIEN PLC 266 20 0.01%
532 Williams Partners Lp 400 20 0.01%
533 WHOLE FOODS MKT INC 400 20 0.01%
534 H&Q Life Sciences Invt 913 20 0.01%
535 GOLDMAN SACHS GRP INC PFD SERIES B 800 20 0.01%
536 CHESAPEAKE ENERGY CORP 800 20 0.01%
537 Allianzgi Conv & Income Fund 1,900 19 0.01%
538 SEI INVESTMENTS CO 567 19 0.01%
539 Peabody Energy Corp 1,181 19 0.01%
540 HARLEY DAVIDSON INC 292 19 0.01%
541 PEMBINA PIPELINE CORP 510 19 0.01%
542 PAN AMERN SILVER CORP 1,500 19 0.01%
543 TELSTRA CORPORATION LIMITED SP 796 19 0.01%
544 FIRST TR EXCH TRD ALPHDX FD 800 19 0.01%
545 GUGGENHEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF 716 19 0.01%
546 OCCIDENTAL PETE CORP DEL 203 19 0.01%
547 ISHARES TR 287 19 0.01%
548 CROSS TIMBERS RTY TR 600 19 0.01%
549 TRAVELERS COMPANIES INC 214 18 0.01%
550 Adams Express Co 1,424 18 0.01%
Page 11 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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