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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 KINDER MORGAN INC DEL 3,400 110 0.05%
252 MAGELLAN MIDSTREAM PRTNRS LP 1,560 109 0.05%
253 MGM RESORTS INTERNATIONAL 4,200 109 0.05%
254 ROYAL DUTCH SHELL PLC 1,476 108 0.05%
255 ARCHER DANIELS MIDLAND CO 2,500 108 0.05%
256 AMER STATES WTR CO 3,325 107 0.05%
257 WESTPORT FUEL SYSTEMS INC 7,350 106 0.04%
258 AMEREN CORP 2,550 105 0.04%
259 ISHARES TR 863 103 0.04%
260 NATIONAL FUEL GAS CO N J 1,477 103 0.04%
261 ISHARES TR 1,263 103 0.04%
262 CONAGRA BRANDS INC 3,300 102 0.04%
263 JPMORGAN CHASE & CO 1,660 101 0.04%
264 ALLIANT ENERGY CORP 1,715 97 0.04%
265 PHILIP MORRIS INTL INC 1,189 97 0.04%
266 E M C CORP MASS COM 3,508 96 0.04%
267 SELECT SECTOR SPDR TR 2,188 94 0.04%
268 POWERSHARES ETF TRUST 1,657 94 0.04%
269 ISHARES RUSSELL 2000 GROWTH ETF 681 93 0.04%
270 ISHARES NASDAQ BIOTECHNOLOGY ETF 83 93 0.04%
271 ISHARES TR 1,113 93 0.04%
272 ISHARES TR 1,372 93 0.04%
273 WERNER ENTERPRISES INC 3,600 92 0.04%
274 SIRIUS XM HOLDINGS INC 28,300 91 0.04%
275 PIMCO ETF TR 841 90 0.04%
276 FREEPORT-MCMORAN INC 2,714 90 0.04%
277 BLACKROCK LIMITED DURATION INCORPORATED TR COM SHS 5,186 89 0.04%
278 COMCAST CORP NEW 1,788 89 0.04%
279 AMBEV SA 11,915 88 0.04%
280 PATTERSON COS INC 2,095 87 0.04%
281 BRISTOL MYERS SQUIBB CO 1,637 85 0.04%
282 COACH INC 1,689 84 0.04%
283 FMC TECHNOLOGIES INC 1,600 84 0.04%
284 HUNT J B TRANS SVCS INC 1,148 83 0.04%
285 DTE ENERGY CO 1,116 83 0.04%
286 VANGUARD WORLD FD 913 83 0.04%
287 Crestwood Equity Partners LP 6,000 83 0.04%
288 STANLEY BLACK &DECKER INC 1,000 81 0.03%
289 WILLIAMS COS INC DEL 2,000 81 0.03%
290 SPDR INDEX SHS FDSDJ GLB RL ES ETF 1,841 80 0.03%
291 RESMED INC 1,800 80 0.03%
292 POWERSHARES ETF TRUST 3,832 79 0.03%
293 EOG RES INC 781 77 0.03%
294 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,521 76 0.03%
295 VECTOR GROUP LTD 3,543 76 0.03%
296 SELECT SECTOR SPDR TR 1,836 76 0.03%
297 PAYCHEX INC 1,767 75 0.03%
298 CHICOS FAS INC 4,703 75 0.03%
299 FIRST TR EXCHANGE TRADED FD 1,500 75 0.03%
300 ROCKWOOD HOLDINGS INC 1,000 74 0.03%
Page 6 of 19