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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
101 BLDRS INDEX FDS TR 3,958 144 0.06%
102 BOEING CO 275 35 0.01%
103 BONANZA CREEK ENERGY INC 100 4 0.00%
104 BOSTON BEER INC 42 10 0.00%
105 BOSTON SCIENTIFIC CORP 245 3 0.00%
106 BP PLC 3,065 147 0.06%
107 BP PRUDHOE BAY RTY TR 160 14 0.01%
108 BREITBURN ENERGY PARTNERS LP COM 115 2 0.00%
109 BRISTOL MYERS SQUIBB CO 1,637 85 0.04%
110 BROADCOM CORP CL A 80 3 0.00%
111 BROADRIDGE FINL SOLUTIONS IN 91 3 0.00%
112 BROOKFIELD ASSET MGMT INC 1,011 41 0.02%
113 BROOKFIELD INFRAST PARTNERS 111 4 0.00%
114 BROOKFIELD PPTY PARTNERS L P 57 1 0.00%
115 BUCKEYE PARTNERS L P 1,835 138 0.06%
116 BUCKLE INC 200 9 0.00%
117 C&J ENERGY SVCS INC 33 1 0.00%
118 CA INC 102 3 0.00%
119 CABELAS INC 100 7 0.00%
120 CABOT OIL & GAS CORP 500 17 0.01%
121 CAESARSTONE LTD 284 15 0.01%
122 CALAMOS GLOBAL TOTAL RETURN FD COM SH BEN INT 1,400 21 0.01%
123 CALIFORNIA WTR SVC GROUP 610 15 0.01%
124 CALUMET SPECIALTY PRODS PTNR 1,500 39 0.02%
125 CAMBRIA FOREIGN SHAREHOLDER YIELD ETF 100 3 0.00%
126 CANADIAN NATL RY CO 480 27 0.01%
127 CANADIAN PAC RY LTD 250 38 0.02%
128 CAPELLA EDUCATION 12 1 0.00%
129 CAPITAL ONE FINL CORP 99 8 0.00%
130 CARLYLE GROUP L P 35 1 0.00%
131 CARNIVAL CORP 100 4 0.00%
132 CASH AMER INTL 50 2 0.00%
133 CATERPILLAR INC 5,581 555 0.23%
134 CBRE CLARION GLOBAL REAL EST 1,400 12 0.01%
135 CELGENE CORP 13,763 1,921 0.81%
136 CENTERPOINT ENERGY INC 210 5 0.00%
137 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 429 1 0.00%
138 CHENIERE ENERGY INC 1,165 64 0.03%
139 CHESAPEAKE ENERGY CORP 800 20 0.01%
140 CHEVRON CORP NEW 1,872 223 0.09%
141 CHICAGO BRIDGE & IRON CO N V 448 39 0.02%
142 CHICOS FAS INC 4,703 75 0.03%
143 CIENA CORP 650 15 0.01%
144 CINCINNATI FINL CORP 12,200 594 0.25%
145 CINTAS CORP 3,300 197 0.08%
146 CIRRUS LOGIC INC 308 6 0.00%
147 CISCO SYS INC 8,332 187 0.08%
148 CITIGROUPINC 1,366 65 0.03%
149 CLAYMORE EXCHANGE TRD FD TR 70 3 0.00%
150 CLAYMORE EXCHANGE TRD FD TR 46,274 1,163 0.49%
Page 3 of 19