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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
301 GAIAM INC 51 0 0.00%
302 GALECTIN THERAPEUTICS INC COM 300 5 0.00%
303 GALLAGHER ARTHUR J & CO 200 10 0.00%
304 GANNETT CO. 221 6 0.00%
305 GAP 48,696 1,951 0.83%
306 GENERAL AMERN INVS CO INC 333 12 0.01%
307 GENERAL DYNAMICS CORP 40 4 0.00%
308 GENERAL ELECTRIC CO 70,461 1,824 0.77%
309 GENERAL MTRS CO 294 5 0.00%
310 GENERAL MTRS CO 294 7 0.00%
311 GENERAL MTRS CO 928 32 0.01%
312 GERDAU S A 2,574 16 0.01%
313 GILEAD SCIENCES INC 420 30 0.01%
314 GLADSTONE INVT CORP 800 7 0.00%
315 GLAXOSMITHKLINE PLC 338 18 0.01%
316 GOLDMAN SACHS GROUP INC 14 2 0.00%
317 GRAMERCY PPTY TR 4,123 32 0.01%
318 GRNHNTR ENRGY 6,365 6 0.00%
319 GRUPO AEROPORTUARIO DEL SURE 320 39 0.02%
320 GS FIN CORP 64,412 1,171 0.50%
321 GUGGENHEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF 716 19 0.01%
322 GUGGENHEIM STRATEGIC OPPORTU 250 5 0.00%
323 H&Q Life Sciences Invt 913 20 0.01%
324 HAIN CELESTIAL GROUP INC 400 37 0.02%
325 HALLIBURTON CO 1,237 73 0.03%
326 HANCOCK JOHN FINL OPPTYS FD 212 5 0.00%
327 HANCOCK JOHN PFD INCOME FD 250 5 0.00%
328 HANCOCK JOHN PFD INCOME FD I 500 9 0.00%
329 HARLEY DAVIDSON INC 292 19 0.01%
330 HARTFORD FINL SVCS GROUP INC 300 11 0.00%
331 HATTERAS FINL CORP 2,104 40 0.02%
332 HCA HOLDINGS INC 200 11 0.00%
333 HCP INC 10,858 421 0.18%
334 HEALTHCARE TRUST AMERICA INC CL A NEW 32,871 374 0.16%
335 HELEN OF TROY CORP LTD 628 43 0.02%
336 HELIX ENERGY SOLUTIONS GRP INC COM 8,970 206 0.09%
337 HELMERICH & PAYNE INC 3,402 366 0.15%
338 HERCULES CAPITAL INC 1,000 14 0.01%
339 HERSHEY CO 500 52 0.02%
340 HESS CORP 2,217 184 0.08%
341 HEXCEL CORP NEW COM 488 21 0.01%
342 HIBBETT INC COM 193 10 0.00%
343 HILLSHIRE BRANDS COMPANY 36 1 0.00%
344 HIMAX TECHNOLOGIES INC 800 9 0.00%
345 HOLLYFRONTIER CORP 907 43 0.02%
346 HOME DEPOT INC 1,555 123 0.05%
347 HONDA MOTOR LTD 260 9 0.00%
348 HORMEL FOODS CORP 20 1 0.00%
349 HOSPITALITY PPTYS TR 100 3 0.00%
350 HSBC HLDGS PLC 42 2 0.00%
Page 7 of 19