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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 ($)
%
Options
Notes
301 Corinthian Colleges, Inc. 260 0 0.00%
302 Crestwood Equity LP 6,000 83 0.03%
303 Crestwood Midstream Partners LP 2,939 66 0.03%
304 Curis, Inc 20,000 56 0.02%
305 DALEIGH HOLDINGS CORP DELISTED 200 0 0.00%
306 DANAHER CORP DEL 5,453 409 0.17%
307 DBX ETF TR 2,494 68 0.03%
308 DBX ETF TR 255 5 0.00%
309 DE MASTER BLENDERS 1753 N.V.OR 180 3 0.00%
310 DECKERS OUTDOOR CORP 20 2 0.00%
311 DEERE & CO 730 66 0.03%
312 DELTA AIRLINES INC DEL 1,049 36 0.02%
313 DENBURY RES INC COM NEW 775 13 0.01%
314 DEUTSCHE BANK AG 900 40 0.02%
315 DEUTSCHE BK AG LDN BRH 500 7 0.00%
316 DEVON ENERGY CORP NEW 59 4 0.00%
317 DIAGEO P L C 207 26 0.01%
318 DIAMOND HITTS PRODUCTXXX 200 0 0.00%
319 DIGITALTOWN INC COM 8,000 3 0.00%
320 DIREXION SHS ETF TR 5 0 0.00%
321 DIREXION SHS ETF TR 250 10 0.00%
322 DIREXION SHS ETF TR 200 11 0.00%
323 DISCOVER FINL SVCS 30 2 0.00%
324 DISH NETWORK A 1,180 73 0.03%
325 DISNEY WALT CO 1,537 123 0.05%
326 DOLLAR TREE INC 189 10 0.00%
327 DOMINION DIAMOND CORP 150 2 0.00%
328 DOMINION ENERGY INC 77 5 0.00%
329 DOW CHEM CO 33,635 1,634 0.69%
330 DR REDDYS LABS LTD 871 38 0.02%
331 DST SYS INC DEL 300 28 0.01%
332 DTE ENERGY CO 1,116 83 0.03%
333 DU PONT E I DE NEMOURS & CO 2,014 135 0.06%
334 DUKE ENERGY CORP NEW 14,793 1,054 0.44%
335 DUNKIN BRANDS GROUP INC COM 301 15 0.01%
336 Decode Genetics, Inc. 3,500 0 0.00%
337 Deutsche Telekom AG ADR 612 10 0.00%
338 DirectTV Com 118 9 0.00%
339 E.ON AG ADR 850 17 0.01%
340 EAGLE MATERIALS INC 230 20 0.01%
341 EASTMAN CHEM CO 210 18 0.01%
342 EATON CORP PLC 1,761 132 0.06%
343 EATON VANCE LTD DURATION INC 3,020 46 0.02%
344 EATON VANCE TAX MANAGED GLOB 1,491 18 0.01%
345 EATON VANCE TAX-MANAGED GLOBAL COM 250 3 0.00%
346 EBAY INC 4,486 248 0.10%
347 ECHOSTAR CORP CL A 236 11 0.00%
348 ECOLAB INC 1,334 144 0.06%
349 EDWARDS LIFESCIENCES CORP 370 27 0.01%
350 ELDORADO GOLD CORP NEW 700 4 0.00%
Page 7 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
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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