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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 ISHARES TR 3,431 175 0.07%
202 3-D SYS CORP DEL 2,960 175 0.07%
203 RETAIL PPTYS AMER INC CL A 12,870 174 0.07%
204 INTERNATIONAL BUSINESS MACHS 900 173 0.07%
205 FIRST TR EXCHANGE TRADED FD 5,360 172 0.07%
206 VANGUARD WORLD FD 1,322 170 0.07%
207 VANGUARD INDEX FDS 1,817 170 0.07%
208 VANGUARD INTL EQUITY INDEX F 4,173 169 0.07%
209 IPATH BLOOMBERG COMMODITY INDEX TOTAL RETURN ETN 4,246 168 0.07%
210 ISHARES TR 2,355 167 0.07%
211 VANGUARD INDEX FDS 1,331 165 0.07%
212 SPDR SERIES TRUST 2,765 164 0.07%
213 ISHARES 5,230 164 0.07%
214 ISHARES TR 1,522 163 0.07%
215 ISHARES INC 4,700 161 0.07%
216 HSBC USA INC SERIES H 6.50% PF 6,350 160 0.07%
217 ISHARES TR 1,046 160 0.07%
218 FIRST TRUST EXCH TRADED FUND 2 INDLS PROD DUR ETF 5,440 160 0.07%
219 VODAFONE GROUP PLC NEW 4,330 159 0.07%
220 ISHARES TR 1,407 157 0.07%
221 OMNICOM GROUP INC 2,134 155 0.07%
222 CNL Lifestyle Properties Inc 22,591 155 0.07%
223 VANGUARD SPECIALIZED FUNDS 2,066 155 0.07%
224 UNDER ARMOUR INC 1,338 153 0.06%
225 EXPRESS SCRIPTS HLDG CO 2,015 151 0.06%
226 BP PLC SPONS 3,065 147 0.06%
227 LEGGETT &PLATT INC 4,500 147 0.06%
228 BLDRS INDEX FDS TR 3,958 144 0.06%
229 ECOLAB INC 1,334 144 0.06%
230 MERCK & CO INC 2,516 143 0.06%
231 VANGUARD WHITEHALL FDS 2,195 139 0.06%
232 ISHARES INC 2,824 139 0.06%
233 BUCKEYE PARTNERS L P 1,835 138 0.06%
234 ONEOK PARTNERS LP 2,572 138 0.06%
235 NEWMONT CORP 5,811 136 0.06%
236 EXELON CORP 4,040 136 0.06%
237 DU PONT E I DE NEMOURS & CO 2,014 135 0.06%
238 ENERGY TRANSFER PRTNRS L P 2,508 135 0.06%
239 SPDR DOW JONES INDL AVRG ETF 818 134 0.06%
240 WISDOMTREE TR 2,433 133 0.06%
241 RPM INTL INC 3,145 132 0.06%
242 ISHARES TR 1,176 132 0.06%
243 EATON CORP PLC 1,761 132 0.06%
244 Medtronic Inc 2,017 124 0.05%
245 AXA SA SPONS ADR ISIN#US0545361075 4,764 124 0.05%
246 HOME DEPOT INC 1,555 123 0.05%
247 DISNEY WALT CO 1,537 123 0.05%
248 PIMCO ETF TR 1,181 120 0.05%
249 VANGUARD INDEX FDS 1,390 120 0.05%
250 POWERSHARES ETF TRUST 1,408 119 0.05%
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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