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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
251 EXPRESS SCRIPTS HLDG CO 2,015 151 0.06%
252 EXTREME NETWORKS INC 10,990 64 0.03%
253 EXXON MOBIL CORP 6,969 681 0.29%
254 El Paso Partners Pipeline 895 27 0.01%
255 FACEBOOK INC 980 59 0.02%
256 FACTSET RESH SYS INC 18,647 2,010 0.85%
257 FASTENAL CO 30 1 0.00%
258 FEDEX CORP 1,799 238 0.10%
259 FERRELLGAS PARTNERS L.P. UNIT LTD PART 560 13 0.01%
260 FIDUCIARY CLAYMORE MLP OPP F 335 9 0.00%
261 FIFTH THIRD BANCORP 8,151 187 0.08%
262 FIREEYE INC 300 18 0.01%
263 FIRST AMERN FINL CORP 378 10 0.00%
264 FIRST MAJESTIC SILVER CORP 110 1 0.00%
265 FIRST SOLAR INC 400 28 0.01%
266 FIRST TR EXCH TRD ALPHDX FD 800 19 0.01%
267 FIRST TR EXCH TRD ALPHDX FD 8,206 429 0.18%
268 FIRST TR EXCHANGE TRADED FD 22,168 691 0.29%
269 FIRST TR EXCHANGE TRADED FD 18,123 923 0.39%
270 FIRST TR EXCHANGE TRADED FD 23,670 1,397 0.59%
271 FIRST TR EXCHANGE TRADED FD 32,184 896 0.38%
272 FIRST TR EXCHANGE TRADED FD 5,360 172 0.07%
273 FIRST TR EXCHANGE TRADED FD 1,500 75 0.03%
274 FIRST TR EXCHANGE TRADED FD 25,048 608 0.26%
275 FIRST TR EXCHANGE TRADED FD 19,652 494 0.21%
276 FIRST TR EXCHANGE-TRADED FD 6,170 473 0.20%
277 FIRST TR HIGH INCOME L/S FD 2,511 45 0.02%
278 FIRST TR LRGE CP CORE ALPHA 9,095 383 0.16%
279 FIRST TR MID CAP CORE ALPHAD 200 10 0.00%
280 FIRST TR MORNINGSTAR DIV LEA 26,121 588 0.25%
281 FIRST TR SML CP CORE ALPHA F 600 29 0.01%
282 FIRST TR SR FLG RTE INCM FD 1,700 25 0.01%
283 FIRST TRUST EXCH TRADED FUND 2 CONSUMR STAPLE ETF 10,113 373 0.16%
284 FIRST TRUST EXCH TRADED FUND 2 ENERGY ALPHADX ETF 9,500 249 0.11%
285 FIRST TRUST EXCH TRADED FUND 2 FINLS ALPHADEX ETF 17,960 392 0.17%
286 FIRST TRUST EXCH TRADED FUND 2 INDLS PROD DUR ETF 5,440 160 0.07%
287 FIRST TRUST EXCH TRADED FUND 2 MATERIALS ALPH ETF 10,106 337 0.14%
288 FIRST TRUST EXCH TRADED FUND 2 UTILITIES ALPH ETF 2,890 64 0.03%
289 FIRSTENERGY CORP 457 16 0.01%
290 FISERV INC 5,850 332 0.14%
291 FLOWSERVE CORP 80 6 0.00%
292 FMC TECHNOLOGIES INC 1,600 84 0.04%
293 FORD MTR CO DEL 60,926 950 0.40%
294 FOREST OIL CORP 200 0 0.00%
295 FORWARD AIR CORP COM 180 8 0.00%
296 FRANKLIN UNVL TR 2,500 18 0.01%
297 FREEPORT-MCMORAN INC 2,714 90 0.04%
298 FRONTIER COMMUNICATIONS CORP 769 4 0.00%
299 Foundation Medicine 150 5 0.00%
300 GABELLI UTIL TR 3,400 23 0.01%
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