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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
151 FIRST TRUST EXCH TRADED FUND 2 MATERIALS ALPH ETF 10,106 337 0.14%
152 FISERV INC 5,850 332 0.14%
153 HUNTINGTON BANCSHARES INC 33,270 332 0.14%
154 SYSCO CORP 8,900 322 0.14%
155 VANGUARD SCOTTSDALE FDS 5,053 308 0.13%
156 Air Products & Chemicals Inc 2,498 297 0.12%
157 SPECTRA ENERGY PARTNERS LP 5,952 291 0.12%
158 VANGUARD WORLD FDS 2,619 290 0.12%
159 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 3,062 289 0.12%
160 INTEL CORP 11,120 287 0.12%
161 PIEDMONT OFFICE REALTY TR INC COM CL A 16,036 275 0.12%
162 PFIZER INC 8,484 273 0.11%
163 Baker Hughes Inc. 4,103 267 0.11%
164 ISHARES TR 2,168 261 0.11%
165 STRATASYS LTD 2,400 255 0.11%
166 STERICYCLE INC 2,200 250 0.10%
167 FIRST TRUST EXCH TRADED FUND 2 ENERGY ALPHADX ETF 9,500 249 0.10%
168 EBAY INC 4,486 248 0.10%
169 Walgreens 3,679 243 0.10%
170 FEDEX CORP 1,799 238 0.10%
171 ISHARES TR 966 228 0.10%
172 VANGUARD INDEX FDS 2,638 224 0.09%
173 CHEVRON CORP NEW 1,872 223 0.09%
174 ISHARES TR 2,632 222 0.09%
175 AMERICAN RLTY CAP PPTYS INC PF 9,752 222 0.09%
176 ILLINOIS TOOL WKS INC 2,722 221 0.09%
177 AMERICAN ELECTRIC POWER 4,304 218 0.09%
178 NUVEEN DIV ADV MUNI FD 3 PFD S 21,398 214 0.09%
179 VANGUARD SCOTTSDALE FDS 3,326 211 0.09%
180 UNITED STATES STL CORP NEW 7,547 208 0.09%
181 ENTERPRISE PRODS PARTNERS L 2,966 206 0.09%
182 HELIX ENERGY SOLUTIONS GRP INC COM 8,970 206 0.09%
183 ANNALY CAP MGMT INC 18,388 202 0.08%
184 WAL-MART STORES INC 2,625 201 0.08%
185 CINTAS CORP 3,300 197 0.08%
186 POTASH CORP SASK INC 5,400 196 0.08%
187 WELLS FARGO & CO NEW 3,898 194 0.08%
188 TARGET CORP 3,179 192 0.08%
189 KBS REAL ESTATE INVT TR INC 42,733 190 0.08%
190 TOTAL S A 2,900 190 0.08%
191 ISHARES TR 1,669 189 0.08%
192 CISCO SYS INC 8,332 187 0.08%
193 FIFTH THIRD BANCORP 8,151 187 0.08%
194 Abbott Labs Common 4,859 187 0.08%
195 ISHARES TR 1,743 185 0.08%
196 HESS CORP 2,217 184 0.08%
197 ROYAL DUTCH SHELL PLC 2,330 182 0.08%
198 Baxter Intl Inc 2,414 178 0.07%
199 ISHARES TR 2,054 176 0.07%
200 HSBC HLDGS PLC 6,900 176 0.07%
Page 4 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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