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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
401 H&Q Life Sciences Invt 913 20 0.01%
402 WHOLE FOODS MKT INC 400 20 0.01%
403 CHESAPEAKE ENERGY CORP 800 20 0.01%
404 Williams Partners Lp 400 20 0.01%
405 CALAMOS GLOBAL TOTAL RETURN FD COM SH BEN INT 1,400 21 0.01%
406 ANHEUSER BUSCH INBEV SA/NV 200 21 0.01%
407 CREDIT SUISSE NASSAU 675 21 0.01%
408 ISHARES INC 425 21 0.01%
409 STURM RUGER & CO INC 345 21 0.01%
410 HEXCEL CORP NEW COM 488 21 0.01%
411 POWERSHS DB US DOLLAR INDEX 1,000 21 0.01%
412 VANGUARD WORLD FD 200 21 0.01%
413 Arris Group Inc 750 21 0.01%
414 Vaneck Vectors Gold 910 21 0.01%
415 WORTHINGTON INDS INC 569 22 0.01%
416 ENBRIDGE ENERGY PARTNERS L P 785 22 0.01%
417 VALERO ENERGY CORP NEW 416 22 0.01%
418 Market Vectors Agribusiness ET 400 22 0.01%
419 VANGUARD INDEX FDS 219 22 0.01%
420 TORO CO 353 22 0.01%
421 NIKE INC 300 22 0.01%
422 MSCI INC 501 22 0.01%
423 AUTOZONE INC 41 22 0.01%
424 NUVEEN PERFORMANCE PLUS MUNICIPAL FUND INC 1,500 22 0.01%
425 VALEANT PHARMACEUTICALS INTL 178 23 0.01%
426 YELP INC 300 23 0.01%
427 WISDOMTREE TR 1,207 23 0.01%
428 AKAMAI TECHNOLOGIES INC 400 23 0.01%
429 WISDOMTREE TR 476 23 0.01%
430 NORTHEASTUTILITI 500 23 0.01%
431 AK STL HLDG CORP 3,245 23 0.01%
432 CREDIT SUISSE NASSAU BRH 575 23 0.01%
433 PIMCO CORPORATE INCOME OPP 1,250 23 0.01%
434 GABELLI UTIL TR 3,400 23 0.01%
435 RAYMOND JAMES FINANC 435 24 0.01%
436 SPDR SERIES TRUST 400 24 0.01%
437 IPG PHOTONICS CORP 341 24 0.01%
438 SOUTHERN COPPER CORP 837 24 0.01%
439 TRINITY INDS INC 338 24 0.01%
440 PENNEY J C 2,767 24 0.01%
441 NATIONAL GRID PLC 351 24 0.01%
442 ALLIANCE DATA SYSTEMS CORP 91 25 0.01%
443 Allergan plc 199 25 0.01%
444 POWERSHARES ETF TR II 810 25 0.01%
445 ISHARES INC 520 25 0.01%
446 MYRIAD GENETICS INC 728 25 0.01%
447 VERA BRADLEY INC 920 25 0.01%
448 FIRST TR SR FLG RTE INCM FD 1,700 25 0.01%
449 METLIFE INC 480 25 0.01%
450 NORDSTROM INC 400 25 0.01%
Page 9 of 19