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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
701 ISHARES 5,230 164 0.07%
702 SPDR SERIES TRUST 2,765 164 0.07%
703 VANGUARD INDEX FDS 1,331 165 0.07%
704 ISHARES TR 2,355 167 0.07%
705 IPATH BLOOMBERG COMMODITY INDEX TOTAL RETURN ETN 4,246 168 0.07%
706 VANGUARD INTL EQUITY INDEX F 4,173 169 0.07%
707 VANGUARD WORLD FD 1,322 170 0.07%
708 VANGUARD INDEX FDS 1,817 170 0.07%
709 FIRST TR EXCHANGE TRADED FD 5,360 172 0.07%
710 INTERNATIONAL BUSINESS MACHS 900 173 0.07%
711 RETAIL PPTYS AMER INC CL A 12,870 174 0.07%
712 ISHARES TR 3,431 175 0.07%
713 3-D SYS CORP DEL 2,960 175 0.07%
714 ISHARES TR 2,054 176 0.07%
715 HSBC HLDGS PLC 6,900 176 0.07%
716 BAXTER INTL INC 2,414 178 0.08%
717 ROYAL DUTCH SHELL PLC 2,330 182 0.08%
718 HESS CORP 2,217 184 0.08%
719 ISHARES TR 1,743 185 0.08%
720 FIFTH THIRD BANCORP 8,151 187 0.08%
721 ABBOTT LABS 4,859 187 0.08%
722 CISCO SYS INC 8,332 187 0.08%
723 ISHARES TR 1,669 189 0.08%
724 TOTAL S A 2,900 190 0.08%
725 TARGET CORP 3,179 192 0.08%
726 WELLS FARGO & CO NEW 3,898 194 0.08%
727 POTASH CORP SASK INC 5,400 196 0.08%
728 CINTAS CORP 3,300 197 0.08%
729 WAL-MART STORES INC 2,625 201 0.09%
730 ANNALY CAP MGMT INC 18,388 202 0.09%
731 HELIX ENERGY SOLUTIONS GRP INC COM 8,970 206 0.09%
732 ENTERPRISE PRODS PARTNERS L 2,966 206 0.09%
733 UNITED STATES STL CORP NEW 7,547 208 0.09%
734 VANGUARD SCOTTSDALE FDS 3,326 211 0.09%
735 AMERICAN ELEC PWR INC 4,304 218 0.09%
736 ILLINOIS TOOL WKS INC 2,722 221 0.09%
737 ISHARES TR 2,632 222 0.09%
738 CHEVRON CORP NEW 1,872 223 0.09%
739 VANGUARD INDEX FDS 2,638 224 0.09%
740 ISHARES TR 966 228 0.10%
741 FEDEX CORP 1,799 238 0.10%
742 Walgreens 3,679 243 0.10%
743 EBAY INC 4,486 248 0.10%
744 FIRST TRUST EXCH TRADED FUND 2 ENERGY ALPHADX ETF 9,500 249 0.11%
745 STERICYCLE INC 2,200 250 0.11%
746 STRATASYS LTD 2,400 255 0.11%
747 ISHARES TR 2,168 261 0.11%
748 BAKER HUGHES INC 4,103 267 0.11%
749 PFIZER INC 8,484 273 0.12%
750 PIEDMONT OFFICE REALTY TR INC COM CL A 16,036 275 0.12%
Page 15 of 19