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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
1 ISHARES TR 119,690 4,908 2.06%
2 SPDR SERIES TRUST 100,360 4,147 1.74%
3 VANGUARD INDEX FDS 58,544 4,134 1.73%
4 SPDR S&P 500 ETF TR 21,558 4,032 1.69%
5 APPLE COMPUTER INC 7,078 3,799 1.59%
6 ISHARES TR 51,467 3,459 1.45%
7 AT&T INC 92,953 3,260 1.37%
8 SPDR SER TR 92,709 2,871 1.20%
9 ISHARES TR 71,465 2,789 1.17%
10 ISHARES TR 23,431 2,726 1.14%
11 SELECT SECTOR SPDR TR 121,889 2,723 1.14%
12 ISHARES TR 14,322 2,695 1.13%
13 VANGUARD TAX-MANAGED FDS 64,799 2,674 1.12%
14 SELECT SECTOR SPDR TR 55,220 2,611 1.10%
15 VANGUARD INDEX FDS 32,749 2,558 1.07%
16 VANGUARD MALVERN FDS 50,516 2,492 1.05%
17 POWERSHARES QQQ TRUST 28,311 2,482 1.04%
18 ADVANCE AUTO PARTS INC 19,377 2,451 1.03%
19 NEWMARKET CORP 6,225 2,433 1.02%
20 ISHARES RUSSELL 3000 ETF 21,294 2,392 1.00%
21 ISHARES TR 27,557 2,385 1.00%
22 ALLIANCE RES PARTNER L P 28,148 2,368 0.99%
23 SPDR SERIES TRUST 54,892 2,329 0.98%
24 VANGUARD BD INDEX FDS 27,951 2,239 0.94%
25 CONOCOPHILLIPS 31,690 2,229 0.94%
26 MASTERCARD INCORPORATED 29,648 2,215 0.93%
27 COMPUTER PROGRAMS & SYS INC COM 33,719 2,178 0.91%
28 ISHARES TR 18,501 2,164 0.91%
29 VARIAN MED SYS INC 25,691 2,158 0.91%
30 PRICELINE GRP INC 1,754 2,091 0.88%
31 UNITED THERAPEUTICS CORP DEL 22,236 2,091 0.88%
32 SOUTHWEST AIRLS CO 87,500 2,066 0.87%
33 CREDIT ACCEP CORP MICH 14,445 2,053 0.86%
34 NATUS MEDICAL INC. 78,841 2,034 0.85%
35 CUMMINS INC 13,556 2,020 0.85%
36 INTER PARFUMS INC COM 55,716 2,017 0.85%
37 VANGUARD INTL EQUITY INDEX F 34,186 2,015 0.85%
38 LEAR CORP 24,070 2,015 0.85%
39 FACTSET RESH SYS INC 18,647 2,010 0.84%
40 JPMORGAN CHASE & CO 42,489 1,977 0.83%
41 ESTERLINE TECHNOLOGIES CORP 18,432 1,964 0.82%
42 ISHARES TR 3YRTB ETF 20,376 1,953 0.82%
43 GAP 48,696 1,951 0.82%
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 0.73%
Page 1 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 JDS UNIPHASE CORP COM PAR $0.001 256 4 0.00%
2 REVOLUTION LIGHTING TECHNOLO COM 500 2 0.00%
3 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 4,325 32 0.01%
4 FRONTLINE LTD ORD 760 3 0.00%
5 LIFE STORAGE INC 20 0 0.00%
6 OI S.A. SPN ADR 312 0 0.00%
7 PEABODY ENERGY CORP 1,181 19 0.01%
8 Williams Partners Lp 400 20 0.01%
9 3-D SYS CORP DEL 2,960 175 0.07%
10 3M CO 2,710 368 0.16%
11 51JOB INC SP ADR REP COM 479 34 0.01%
12 ABBOTT LABS 4,859 187 0.08%
13 ABBVIE INC 36,868 1,895 0.80%
14 ACCENTURE PLC IRELAND 406 32 0.01%
15 ACE LTD 364 36 0.02%
16 ACUITY BRANDS INC 130 17 0.01%
17 ADAMS DIVERSIFIED EQUITY FD 1,424 18 0.01%
18 ADOBE INC 100 7 0.00%
19 ADVANCE AUTO PARTS INC 19,377 2,451 1.04%
20 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
21 ADVENT CLAYMORE ENH GRW & IN 325 3 0.00%
22 ADVISORSHARES TR 62 3 0.00%
23 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,521 76 0.03%
24 AEGON N V 221 2 0.00%
25 AETNA INC NEW 415 31 0.01%
26 AFLAC INC 7,561 477 0.20%
27 AGL Resources Inc 100 5 0.00%
28 AGRIUM INC 150 15 0.01%
29 AIR PRODS & CHEMS INC 2,498 297 0.13%
30 AK STL HLDG CORP 3,245 23 0.01%
31 AKAMAI TECHNOLOGIES INC 400 23 0.01%
32 ALEXION PHARMACEUTIC 200 30 0.01%
33 ALLIANCE DATA SYSTEMS CORP 91 25 0.01%
34 ALLIANCE RES PARTNER L P 28,148 2,368 1.00%
35 ALLIANCEBERNSTEIN GLOBAL HIG 2,205 33 0.01%
36 ALLIANCEBERNSTEIN HLDG L P 600 15 0.01%
37 ALLIANT ENERGY CORP 1,715 97 0.04%
38 ALLIANZGI CONV & INCOME FD 1,900 19 0.01%
39 ALLSTATE CORP 185 10 0.00%
40 ALPS ETF TR 95,086 1,679 0.71%
41 ALPS ETF TR 300 9 0.00%
42 ALTRIA GROUP INC 43,314 1,621 0.69%
43 AMBEV SA 11,915 88 0.04%
44 AMER STATES WTR CO 3,325 107 0.05%
45 AMEREN CORP 2,550 105 0.04%
46 AMERICAN ELEC PWR INC 4,304 218 0.09%
47 AMERICAN INTL GROUP INC 68 1 0.00%
48 AMERICAN INTL GROUP INC 212 11 0.00%
49 AMERICAN RLTY CAP PPTYS INC 61,322 860 0.36%
50 AMERICAN WTR WKS CO INC NEW 146 7 0.00%
Page 1 of 19