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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
51 ANPATH GROUP INC COM PAR $0.00 143 0 0.00%
52 ANSYS 500 39 0.02%
53 AON PLC 435 37 0.02%
54 APPLE COMPUTER INC 7,078 3,799 1.59%
55 AQUA AMERICA INC 406 10 0.00%
56 ARCELORMITTAL SA LUXEMBOURG 3,945 64 0.03%
57 ARIAD PHARMACEUTICALS ORD (NMS) 5,000 40 0.02%
58 ARM HLDGS PLC 400 20 0.01%
59 ASSOCIATED EST RLTY 900 15 0.01%
60 AT&T INC 92,953 3,260 1.37%
61 ATHEROGENICS INC COM 9,000 0 0.00%
62 ATLANTIC PWR CORP 2,335 7 0.00%
63 ATLAS RESOURCES PARTNERS LP 176 4 0.00%
64 AUTODESK INC 50 2 0.00%
65 AUTOZONE INC 41 22 0.01%
66 AVANIR PHARMACEUTICALS INC CL 1,400 5 0.00%
67 AVEC CORPORATION XXX 20 0 0.00%
68 AXA SA SPONS ADR ISIN#US0545361075 4,764 124 0.05%
69 Abbott Labs Common 4,859 187 0.08%
70 Acxiom Corp 200 7 0.00%
71 Adams Express Co 1,424 18 0.01%
72 Adt Corp 20 1 0.00%
73 Air Products & Chemicals Inc 2,498 297 0.12%
74 Alcatel Lucent Adr 1,140 4 0.00%
75 Alcoa Inc 1,007 13 0.01%
76 Alexion Pharma Inc 200 30 0.01%
77 Allergan Inc 199 25 0.01%
78 Alliance Data Systems 91 25 0.01%
79 Alliant Energy Corp 1,715 97 0.04%
80 Allianzgi Conv & Income Fund 1,900 19 0.01%
81 Allstate Corp 185 10 0.00%
82 Altius Minerals Corp. 500 7 0.00%
83 American International Group Inc 212 11 0.00%
84 American Intl Group Inc Wt Exp 011921 68 1 0.00%
85 American States Water Co 3,325 107 0.04%
86 American Water Works, Inc. 146 7 0.00%
87 Andersons Inc 300 18 0.01%
88 Apache Corp 36 3 0.00%
89 Archer-Daniels-Midland 2,500 108 0.05%
90 Arris Group Inc 750 21 0.01%
91 Astrazeneca Plc ADR F 148 10 0.00%
92 Auto Data Processing 6,100 471 0.20%
93 B P Prudhoe Bay Rlty Tr Unit B 160 14 0.01%
94 BANCO SANTANDER SA 3,474 33 0.01%
95 BANK AMERICA CORP 30,066 517 0.22%
96 BARCLAYS BANK 500 12 0.01%
97 BARCLAYS BK PLC 314 46 0.02%
98 BARRICK GOLD CORP 2,642 47 0.02%
99 BCE INC 1,095 47 0.02%
100 BE Aerospace Inc. 198 17 0.01%
Page 2 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
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 RUSSELL 3000 ETF 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. 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 FREIGHT LINE IN 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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