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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
151 SANOFI 103 5 0.00%
152 AVANIR PHARMACEUTICALS INC CL 1,400 5 0.00%
153 THORATEC LABS CORP 140 5 0.00%
154 POWERSHARES ETF TRUST 80 5 0.00%
155 TRIPADVISOR INC 50 5 0.00%
156 GUGGENHEIM STRATEGIC OPPORTU 250 5 0.00%
157 NORTHERN OIL & GAS INC NEV 333 5 0.00%
158 CENTERPOINT ENERGY INC 210 5 0.00%
159 AGL Resources Inc 100 5 0.00%
160 Market Vctrs Rare Erth 143 5 0.00%
161 DOMINION ENERGY INC 77 5 0.00%
162 GENERAL MTRS CO 294 5 0.00%
163 LIFEPOINT HEALTH INC 100 5 0.00%
164 COMMONWEALTH REIT 200 5 0.00%
165 HANCOCK JOHN PFD INCOME FD 250 5 0.00%
166 CONTINENTAL RESOURE 40 5 0.00%
167 HANCOCK JOHN FINL OPPTYS FD 212 5 0.00%
168 JOHN BEAN TECHNOLOGIES CORP COM 172 5 0.00%
169 GALECTIN THERAPEUTICS INC COM 300 5 0.00%
170 ISHARES GOLD TRUST 409 5 0.00%
171 ISHARES TR 150 5 0.00%
172 Foundation Medicine 150 5 0.00%
173 DBX ETF TR 255 5 0.00%
174 STRAYER EDUCATION INC 115 5 0.00%
175 SPDR SER TR 99 5 0.00%
176 SINCLAIR BROADCAST GROUP INC 200 5 0.00%
177 NCR CORP NEW 163 6 0.00%
178 STONEX GROUP INC COM 295 6 0.00%
179 GRNHNTR ENRGY 6,365 6 0.00%
180 PEGASYSTEMS INC 360 6 0.00%
181 PENGROWTH ENERGY CORP 1,000 6 0.00%
182 SILVER WHEATON CORP 278 6 0.00%
183 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
184 ROBERT HALF INTL INC 134 6 0.00%
185 PG&E CORP 150 6 0.00%
186 ZAGG INCORPORATED 1,244 6 0.00%
187 GANNETT CO. 221 6 0.00%
188 FLOWSERVE CORP 80 6 0.00%
189 ULTRA PETROLEUM CORP 215 6 0.00%
190 NUSTAR GP HOLDINGS LLC 186 6 0.00%
191 CIRRUS LOGIC INC 308 6 0.00%
192 OLIN CORP 200 6 0.00%
193 Welltower Inc. 95 6 0.00%
194 POWERSHARES ETF TRUST 275 6 0.00%
195 OPEN TEXT CORP 140 7 0.00%
196 AMERICAN WTR WKS CO INC NEW 146 7 0.00%
197 SPDR SERIES TRUST 101 7 0.00%
198 KANSAS CITY SOUTHERN 70 7 0.00%
199 POWERSHARES ETF TRUST 190 7 0.00%
200 SLM CORP 295 7 0.00%
Page 4 of 19