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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 iPath S&P 500 VIX Short-Term F 212 6,063 0.00%
752 GLADSTONE INVT CORP 800 5,920 0.00%
753 STONEX GROUP INC COM 295 5,876 0.00%
754 Bonanza Creek Energy Inc 100 5,719 0.00%
755 POWERSHARES N/C 6/4/18 46138E636 185 5,674 0.00%
756 ADVENT CLAYMORE CV SECS & INCORPORATED 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 INSTRS INC 115 5,496 0.00%
762 GUGGENHEIM STRATEGIC OPPORTU 250 5,495 0.00%
763 HIMAX TECHNOLOGIES INC 800 5,488 0.00%
764 GENERAL MTRS CO 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 INC 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 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 INC 504 4,879 0.00%
778 TAIWAN SEMICONDUCTOR MFG LTD 222 4,749 0.00%
779 DEVON ENERGY CORP NEW 59 4,685 0.00%
780 BROOKFIELD INFRAST PARTNERS 111 4,631 0.00%
781 PEMBINA PIPELINE CORP 100 4,591 0.00%
782 FLOWSERVE CORP 60 4,461 0.00%
783 PROSHARES ULTRA FNCLS NEW ETF 35 4,435 0.00%
784 ISHARES TR 50 4,367 0.00%
785 PIMCO MUNICIPAL INCOME FD 300 4,320 0.00%
786 NORTHROP GRUMMAN CORP 36 4,307 0.00%
787 CAPITAL ONE FINL CORP 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 INC COM 300 4,143 0.00%
791 TE CONNECTIVITY LTD 67 4,143 0.00%
792 SELECT SECTOR SPDR TR 76 4,109 0.00%
793 SUNPOWER CORP 100 4,098 0.00%
794 Foundation Medicine 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 FINL SOLUTIONS IN 92 3,831 0.00%
800 ELDORADO GOLD CORP NEW 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 TWENTY FIRST CENTY FOX INC 6 211 0.00%
2 ALPS ETF TR 5 214 0.00%
3 Neo Performance Materials 100 257 0.00%
4 OI S.A. SPN ADR 312 268 0.00%
5 STATOIL ASA 10 308 0.00%
6 KODIAK OIL & GAS CORP 25 364 0.00%
7 GAIAM INC 51 392 0.00%
8 ENDOCYTE INC COM 60 395 0.00%
9 KRISPY KREME DOUGHNT 25 400 0.00%
10 MALLINCKRODT PUB LTD CO 5 400 0.00%
11 JA SOLAR HOLDINGS CO LTD 40 434 0.00%
12 FOREST OIL CORP 200 456 0.00%
13 TERADATA CORP DEL 12 482 0.00%
14 Blackhawk Network 18 483 0.00%
15 COGNIZANT TECHNOLOGY SOLUTIO 10 489 0.00%
16 TELEFONICA BRASIL SA 27 554 0.00%
17 PENTAIR PLC 8 577 0.00%
18 Alcatel Lucent Adr 164 584 0.00%
19 Adt Corp 20 699 0.00%
20 * SANDRIDGE ENERGY INC COM 100 715 0.00%
21 LUBY'S INC 130 764 0.00%
22 UNISYS CORP 32 792 0.00%
23 ISHARES TR 10 841 0.00%
24 LIME ENERGY CO COM 357 917 0.00%
25 KENNAMETAL INC 20 926 0.00%
26 HORMEL FOODS CORP 20 987 0.00%
27 APPLIED MATLS INC 50 1,128 0.00%
28 REVOLUTION LIGHTING TECHNOLO COM NEW 500 1,150 0.00%
29 SUNTRUST BKS INC 29 1,162 0.00%
30 STMICROELECTRONICS N V 131 1,165 0.00%
31 CARLYLE GROUP L P 35 1,189 0.00%
32 BROOKFIELD PPTY PARTNERS L P 57 1,190 0.00%
33 Cimpress NV 30 1,214 0.00%
34 IAMGOLD CORP 300 1,236 0.00%
35 ZIMMER BIOMET HLDGS INC 12 1,246 0.00%
36 INGERSOLL-RAND PLC 20 1,250 0.00%
37 ISHARES 35 1,250 0.00%
38 FIRST MAJESTIC SILVER CORP 110 1,268 0.00%
39 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 448 1,308 0.00%
40 CST BRANDS INC 38 1,311 0.00%
41 CROCS INC 90 1,353 0.00%
42 LAWSON PRODS INC COM 85 1,385 0.00%
43 POWERSHARES ETF TRUST II 75 1,397 0.00%
44 NAM TAI PPTY INC SHS 190 1,433 0.00%
45 PERRIGO CO PLC 10 1,458 0.00%
46 FASTENAL CO 30 1,485 0.00%
47 PANERA BREAD CO 10 1,498 0.00%
48 Star Bulk Carriers Corp. 116 1,505 0.00%
49 ISHARES TR 60 1,583 0.00%
50 Intl Game Technology 100 1,591 0.00%
Page 1 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES 20 YEAR TREASURY BOND ETF 70,476 8,000 2.85%
2 SPDR SERIES TRUST 157,129 6,557 2.34%
3 ISHARES TR 56,097 6,137 2.19%
4 VANGUARD INDEX FDS 74,535 5,578 1.99%
5 ISHARES TR 128,423 5,552 1.98%
6 ISHARES TR 25,907 5,104 1.82%
7 AT&T INC 110,529 3,908 1.39%
8 VANGUARD WHITEHALL FDS 51,600 3,422 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227 1.15%
10 ISHARES TR 78,623 3,138 1.12%
11 COCA COLA CO 73,085 3,096 1.10%
12 CONOCOPHILLIPS 35,562 3,049 1.09%
13 SPDR SER TR 97,269 3,011 1.07%
14 ISHARES TR 24,082 2,778 0.99%
15 VANGUARD TAX-MANAGED FDS 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 TR 24,282 2,628 0.94%
20 DUKE ENERGY CORP NEW 35,030 2,599 0.93%
21 VANGUARD INDEX FDS 31,956 2,587 0.92%
22 SPDR S&P 500 ETF TR 13,060 2,556 0.91%
23 DICKS SPORTING GOODS 53,308 2,482 0.88%
24 ABBOTT LABS 60,222 2,463 0.88%
25 ISHARES TR 27,059 2,460 0.88%
26 WAL-MART STORES INC 32,711 2,456 0.87%
27 BAXTER INTL INC 33,261 2,405 0.86%
28 APOLLO GLOBAL MGMT LLC 86,383 2,395 0.85%
29 EBAY INC 47,787 2,392 0.85%
30 SPDR SERIES TRUST 54,756 2,390 0.85%
31 VANGUARD MALVERN FDS 47,446 2,378 0.85%
32 ULTRA PETROLEUM CORP 79,901 2,372 0.84%
33 EXPRESS SCRIPTS HLDG CO 34,195 2,371 0.84%
34 INTERNATIONAL BUSINESS MACHS 12,837 2,327 0.83%
35 WESTERN UN CO 133,778 2,320 0.83%
36 JPMORGAN CHASE & CO 44,222 2,316 0.82%
37 GOOGLE INC 3,989 2,295 0.82%
38 CONSOLIDATED EDISON INC 39,721 2,293 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278 0.81%
40 LOWES COS INC 47,176 2,264 0.81%
41 VANGUARD BD INDEX FDS 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 VARCO INC 26,514 2,183 0.78%
46 BLACKROCK INC 6,831 2,183 0.78%
47 CME GROUP INC 30,408 2,157 0.77%
48 PHILIP MORRIS INTL INC 25,280 2,131 0.76%
49 ISHARES TR 31,023 2,121 0.76%
50 GENERAL ELECTRIC CO 78,940 2,075 0.74%
Page 1 of 19