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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 (2014Q2)
Original 13F HR (0001606587-14-000171) filed in 2014.08.04
#
Name
Shares
Value ($)
%
Options
Notes
751 BARCLAYS BK PLC IPATH S&P500 VIX 212 6,063 0.00%
752 GLADSTONE INVT CORP 800 5,920 0.00%
753 Intl Fcstone Inc Com 295 5,876 0.00%
754 Bonanza Creek Energy Inc 100 5,719 0.00%
755 PowerShares International Corporate Bond Portfolio 185 5,674 0.00%
756 ADVENT CLAYMORE 300 5,652 0.00%
757 DBX ETF TR 255 5,633 0.00%
758 INSYS THERAPEUTICS INC NEW 180 5,621 0.00%
759 THORATEC LABS CORP 160 5,578 0.00%
760 AGL Resources Inc 100 5,503 0.00%
761 TEXAS INSTRUMENTS 115 5,496 0.00%
762 GUGGENHEIM STRATEGIC OPP FD 250 5,495 0.00%
763 HIMAX TECHNOLOGIES INC 800 5,488 0.00%
764 GENERAL MOTORS 294 5,457 0.00%
765 TRIPADVISOR INC 50 5,433 0.00%
766 NORTHERN OIL & GAS INC NEV 333 5,425 0.00%
767 OLIN CORP 200 5,384 0.00%
768 LULULEMON ATHLETICA 132 5,343 0.00%
769 John Bean Technologies Corp 172 5,330 0.00%
770 COMMONWEALTH REIT 200 5,264 0.00%
771 POWERSHARES ETF TRUST 80 5,217 0.00%
772 ISHARES TR 150 5,198 0.00%
773 HANCOCK JOHN PFD INCOME FD SH BEN INT 250 5,148 0.00%
774 Market Vctrs Rare Erth 143 5,064 0.00%
775 Stryker Corp 60 5,059 0.00%
776 HANCOCK JOHN FINL OPPTYS FD 212 4,906 0.00%
777 PDL BIOPHARMA 504 4,879 0.00%
778 TAIWAN SEMICONDUCTOR 222 4,749 0.00%
779 DEVON ENERGY 59 4,685 0.00%
780 BROOKFIELD INFRASTRUCTRE 111 4,631 0.00%
781 PEMBINA PIPELINE CORP 100 4,591 0.00%
782 FLOWSERVE CORP 60 4,461 0.00%
783 PROSHARES TR 35 4,435 0.00%
784 ISHARES COHEN 50 4,367 0.00%
785 PIMCO MUNICIPAL INCOME FD 300 4,320 0.00%
786 NORTHROP GRUMMAN 36 4,307 0.00%
787 CAPITAL ONE 52 4,295 0.00%
788 Frontier Communications Corp 729 4,257 0.00%
789 ORGANOVO HLDGS INC 500 4,175 0.00%
790 GALECTIN THERAPEUTICS 300 4,143 0.00%
791 TE CONNECTIVITY 67 4,143 0.00%
792 SECTOR INDUSTRIAL 76 4,109 0.00%
793 SUNPOWER CORP 100 4,098 0.00%
794 FOUNDATION MEDICINE INC 150 4,044 0.00%
795 QUESTAR CORP COM 160 3,968 0.00%
796 EXPEDIA INC DEL 50 3,938 0.00%
797 Safeway Inc - Safeway PDC LLC CVR 114 3,915 0.00%
798 PENN WEST PETE LTD NEW 400 3,904 0.00%
799 BROADRIDGE FINANCIAL 92 3,831 0.00%
800 Eldorado Gold Corp 500 3,820 0.00%
Page 16 of 19
Restatement filing (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES 20 70,476 8,000,436 2.85%
2 SPDR Blmbg Barclays High Yield Bd 157,129 6,556,993 2.34%
3 iShares Core US Aggregate Bond 56,097 6,137,012 2.19%
4 Vanguard REIT ETF 74,535 5,578,199 1.99%
5 iShares MSCI Emerging 128,423 5,551,726 1.98%
6 iShares Core S&P 500 25,907 5,103,679 1.82%
7 A T & T Inc 110,529 3,908,305 1.39%
8 Vanguard High Dividend 51,600 3,421,854 1.22%
9 Berkshire Hathaway 25,498 3,227,027 1.15%
10 iShares U.S. Preferred 78,623 3,137,844 1.12%
11 Coca Cola Company 73,085 3,095,881 1.10%
12 Conocophillips 35,562 3,048,730 1.09%
13 SPDR Blmbg BarclaysST HY Bd 97,269 3,011,448 1.07%
14 iShares TIPS Bond ETF 24,082 2,778,100 0.99%
15 Vanguard FTSE Developed 62,123 2,645,819 0.94%
16 Abbvie Inc 46,644 2,632,587 0.94%
17 SYSCO CORP 70,199 2,628,953 0.94%
18 HCP INC 63,512 2,628,127 0.94%
19 ISHARES MBS 24,282 2,627,798 0.94%
20 DUKE ENERGY 35,030 2,598,876 0.93%
21 Vanguard Value 31,956 2,586,838 0.92%
22 SPDR S&P 500 ETF 13,060 2,556,103 0.91%
23 DICKS SPORTING 53,308 2,482,020 0.88%
24 Abbott Laboratories 60,222 2,463,080 0.88%
25 ISHARES RUSSELL 27,059 2,460,475 0.88%
26 Wal-Mart Stores Inc 32,711 2,455,615 0.87%
27 BAXTER INTERNATIONAL 33,261 2,404,770 0.86%
28 APOLLO GLOBAL MGMT LLC CL A SHS 86,383 2,394,537 0.85%
29 EBAY INC 47,787 2,392,217 0.85%
30 SPDR WELLS 54,756 2,390,099 0.85%
31 Vanguard Short Term TIP Index ETF 47,446 2,377,994 0.85%
32 ULTRA PETROLEUM CORP 79,901 2,372,261 0.84%
33 Express Scripts HLDG 34,195 2,370,739 0.84%
34 IBM Corp 12,837 2,326,963 0.83%
35 Western Union Co 133,778 2,319,711 0.83%
36 JPMORGAN CHASE 44,222 2,316,348 0.83%
37 GOOGLE INC 3,989 2,294,792 0.82%
38 CONSOLIDATED EDISON 39,721 2,293,491 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278,314 0.81%
40 LOWES COMPANIES 47,176 2,263,976 0.81%
41 Vanguard Short-Term Bond 27,921 2,243,173 0.80%
42 PHARMACYCLICS INC 24,521 2,199,779 0.78%
43 PETSMART 36,766 2,198,607 0.78%
44 Amazon Com Inc 6,764 2,196,812 0.78%
45 NATIONAL OILWELL 26,514 2,183,428 0.78%
46 BlackRock Inc 6,831 2,183,188 0.78%
47 CME GROUP 30,408 2,157,448 0.77%
48 Philip Morris Intl 25,280 2,131,357 0.76%
49 iShares MSCI EAFE ETF 31,023 2,121,043 0.76%
50 General Electric Co 78,940 2,074,543 0.74%
Page 1 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES 20 70,476 8,000 2.85%
2 SPDR Blmbg Barclays High Yield Bd 157,129 6,557 2.34%
3 iShares Core US Aggregate Bond 56,097 6,137 2.19%
4 Vanguard REIT ETF 74,535 5,578 1.99%
5 iShares MSCI Emerging 128,423 5,552 1.98%
6 iShares Core S&P 500 25,907 5,104 1.82%
7 A T & T Inc 110,529 3,908 1.39%
8 Vanguard High Dividend 51,600 3,422 1.22%
9 Berkshire Hathaway 25,498 3,227 1.15%
10 iShares U.S. Preferred 78,623 3,138 1.12%
11 Coca Cola Company 73,085 3,096 1.10%
12 Conocophillips 35,562 3,049 1.09%
13 SPDR Blmbg BarclaysST HY Bd 97,269 3,011 1.07%
14 iShares TIPS Bond ETF 24,082 2,778 0.99%
15 Vanguard FTSE Developed 62,123 2,646 0.94%
16 Abbvie Inc 46,644 2,633 0.94%
17 SYSCO CORP 70,199 2,629 0.94%
18 HCP INC 63,512 2,628 0.94%
19 ISHARES MBS 24,282 2,628 0.94%
20 DUKE ENERGY 35,030 2,599 0.93%
21 Vanguard Value 31,956 2,587 0.92%
22 SPDR S&P 500 ETF 13,060 2,556 0.91%
23 DICKS SPORTING 53,308 2,482 0.88%
24 Abbott Laboratories 60,222 2,463 0.88%
25 ISHARES RUSSELL 27,059 2,460 0.88%
26 Wal-Mart Stores Inc 32,711 2,456 0.87%
27 BAXTER INTERNATIONAL 33,261 2,405 0.86%
28 APOLLO GLOBAL MGMT LLC CL A SHS 86,383 2,395 0.85%
29 EBAY INC 47,787 2,392 0.85%
30 SPDR WELLS 54,756 2,390 0.85%
31 Vanguard Short Term TIP Index ETF 47,446 2,378 0.85%
32 ULTRA PETROLEUM CORP 79,901 2,372 0.84%
33 Express Scripts HLDG 34,195 2,371 0.84%
34 IBM Corp 12,837 2,327 0.83%
35 Western Union Co 133,778 2,320 0.83%
36 JPMORGAN CHASE 44,222 2,316 0.82%
37 GOOGLE INC 3,989 2,295 0.82%
38 CONSOLIDATED EDISON 39,721 2,293 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278 0.81%
40 LOWES COMPANIES 47,176 2,264 0.81%
41 Vanguard Short-Term Bond 27,921 2,243 0.80%
42 PHARMACYCLICS INC 24,521 2,200 0.78%
43 PETSMART 36,766 2,199 0.78%
44 Amazon Com Inc 6,764 2,197 0.78%
45 NATIONAL OILWELL 26,514 2,183 0.78%
46 BlackRock Inc 6,831 2,183 0.78%
47 CME GROUP 30,408 2,157 0.77%
48 Philip Morris Intl 25,280 2,131 0.76%
49 iShares MSCI EAFE ETF 31,023 2,121 0.76%
50 General Electric Co 78,940 2,075 0.74%
Page 1 of 19