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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 TR 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 DEL 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 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 0.73%
Page 1 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
801 IMAX CORP 100 3 0.00%
802 UNITEDHEALTH GROUP INC 38 3 0.00%
803 HOSPITALITY PPTYS TR 100 3 0.00%
804 FRONTLINE LTD ORD 760 3 0.00%
805 EATON VANCE TAX-MANAGED GLOBAL COM 250 3 0.00%
806 CNOOC LTD 20 3 0.00%
807 CLAYMORE EXCHANGE TRD FD TR 70 3 0.00%
808 CAMBRIA ETF TR 100 3 0.00%
809 CA INC 102 3 0.00%
810 WHITEWAVE FOODS CO 100 3 0.00%
811 BROADCOM CORP CL A 80 3 0.00%
812 BOSTON SCIENTIFIC CORP 245 3 0.00%
813 APACHE CORP 36 3 0.00%
814 ADVENT CLAYMORE ENH GRW & IN 325 3 0.00%
815 SIMON PPTY GROUP INC NEW 15 2 0.00%
816 STAPLES INC 164 2 0.00%
817 AUTODESK INC 50 2 0.00%
818 DECKERS OUTDOOR CORP 20 2 0.00%
819 SWEDISH EXPT CR CORP 208 2 0.00%
820 PDL BIOPHARMA INC 200 2 0.00%
821 GOLDMAN SACHS GROUP INC 14 2 0.00%
822 NUVEEN FLTNG RTE INCM OPP FD 169 2 0.00%
823 HUGOTON RTY TR TEX 200 2 0.00%
824 COMPANIA DE MINAS BUENAVENTU 140 2 0.00%
825 COMMUNITY HEALTH SYS INC NEW 40 2 0.00%
826 Breitburn Energy Partners LP 115 2 0.00%
827 AEGON N V 221 2 0.00%
828 CLIFFS NAT RES INC 120 2 0.00%
829 REVOLUTION LIGHTING TECHNOLO COM NEW 500 2 0.00%
830 SPECTRUM PHARMACEUTICALS INC COM 200 2 0.00%
831 REGENCY ENERGY PARTNERS 70 2 0.00%
832 TELUS CORP 40 2 0.00%
833 SHIP FINANCE INTERNATIONAL L 120 2 0.00%
834 Warren Resources Inc 409 2 0.00%
835 PANERA BREAD CO 10 2 0.00%
836 MITSUBISHI UFJ FINL GROUP IN 347 2 0.00%
837 CASH AMER INTL 50 2 0.00%
838 SUMITOMO MITSUI FINL GROUP I 205 2 0.00%
839 STATOIL ASA 80 2 0.00%
840 Teekay Offshore Partners L.P. 68 2 0.00%
841 HSBC HLDGS PLC 42 2 0.00%
842 LEVEL 3 COMMUNICATIONS INC 51 2 0.00%
843 TYCO INTL LTD. 41 2 0.00%
844 STONERIDGE INC 200 2 0.00%
845 Star Bulk Carriers Corp. 116 2 0.00%
846 DOMINION DIAMOND CORP 150 2 0.00%
847 DISCOVER FINL SVCS 30 2 0.00%
848 HUNTINGTON INGALLS INDS INC 5 1 0.00%
849 AMERICAN INTL GROUP INC 68 1 0.00%
850 HORMEL FOODS CORP 20 1 0.00%
Page 17 of 19