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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
201 CALL (FEYE) FIREEYE INC COM MA 3 1 0.00% Call
202 ZIMMER BIOMET HLDGS INC 12 1 0.00%
203 CALL (BAC) BANK OF AMERICA JAN 28 2 0.00% Call
204 REVOLUTION LIGHTING TECHNOLO COM 500 2 0.00%
205 SWEDISH EXPT CR CORP 208 2 0.00%
206 AEGON N V 221 2 0.00%
207 CASH AMER INTL 50 2 0.00%
208 LEVEL 3 COMM 51 2 0.00%
209 ISABELLA BK CORP COM 100 2 0.00%
210 AKZO NOBEL NV-ADR 75 2 0.00%
211 STATOIL ASA 80 2 0.00%
212 DOMINION DIAMOND CORP 150 2 0.00%
213 Warren Resources Inc 409 2 0.00%
214 Star Bulk Carriers Corp. 116 2 0.00%
215 HUGOTON RTY TR TEX 200 2 0.00%
216 HSBC HLDGS PLC 42 2 0.00%
217 CALL (OSTK) OVERSTOCK COM INC 5 2 0.00% Call
218 STAPLES INC 164 2 0.00%
219 MITSUBISHI UFJ FINL GROUP INCORPORATED SPONSORED ADR 347 2 0.00%
220 SPECTRUM PHARMACEUTICALS INC COM 200 2 0.00%
221 MOTORS LIQUIDATION CO. TRUST 79 2 0.00%
222 DISCOVER FINL SVCS 30 2 0.00%
223 TYCO INTL LTD. 41 2 0.00%
224 SHIP FINANCE INTERNATIONAL L 120 2 0.00%
225 AUTODESK INC 50 2 0.00%
226 GOLDMAN SACHS GROUP INC 14 2 0.00%
227 Teekay Offshore Partners LP 68 2 0.00%
228 COMMUNITY HEALTH SYS INC NEW 40 2 0.00%
229 DECKERS OUTDOOR CORP 20 2 0.00%
230 COMPANIA DE MINAS BUENAVENTU 140 2 0.00%
231 NUVEEN FLTNG RTE INCM OPP FD 169 2 0.00%
232 TELUS CORP 40 2 0.00%
233 SIMON PPTY GROUP INC NEW 15 2 0.00%
234 CLIFFS NAT RES INC 120 2 0.00%
235 Panasonic Elec Indl Ltd Spon ADR 150 2 0.00%
236 REGENCY ENERGY PARTNERS 70 2 0.00%
237 BREITBURN ENERGY PARTNERS LP COM 115 2 0.00%
238 PANERA BREAD CO 10 2 0.00%
239 SUMITOMO MITSUI FINL GROUP I 205 2 0.00%
240 PDL BIOPHARMA INC 200 2 0.00%
241 STONERIDGE INC COM 200 2 0.00%
242 SPRINT CORP 294 3 0.00%
243 CLAYMORE EXCHANGE TRD FD TR 70 3 0.00%
244 CAYDEN RES INC COM 1,500 3 0.00%
245 WHITEWAVE FOODS CO 100 3 0.00%
246 POWERSHARES ETF TRUST 100 3 0.00%
247 STEMCELLS INC COM NEW 2,270 3 0.00%
248 CNOOC LTD 20 3 0.00%
249 SOCIEDAD QUIMICA Y MINERA DE 79 3 0.00%
250 HOSPITALITY PPTYS TR 100 3 0.00%
Page 5 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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