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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
51 MOMENTA PHARMACEUTICALS INC 170,006 2,053,672 0.73%
52 ALTRIA GROUP INC 48,154 2,019,579 0.72%
53 FIRST TRUST EXCH TRADED FUND 2 CONSUMR STAPLE ETF 49,633 1,975,890 0.70%
54 DOW CHEM CO 37,543 1,931,963 0.69%
55 JOHNSON & JOHNSON 18,325 1,917,162 0.68%
56 SELECT SECTOR SPDR TR 84,117 1,912,821 0.68%
57 ISHARES TR 15,296 1,817,318 0.65%
58 ISHARES TR 3YRTB ETF 18,744 1,804,297 0.64%
59 FIRST TRUST EXCH TRADED FUND 2 INDLS PROD DUR ETF 58,253 1,777,299 0.63%
60 ISHARES TR 44,439 1,772,672 0.63%
61 ALPS ETF TR 93,199 1,770,781 0.63%
62 MCDONALDS CORP 16,959 1,708,450 0.61%
63 FIRST TRUST EXCH TRADED FUND 2 UTILITIES ALPH ETF 68,953 1,645,219 0.59%
64 VANGUARD INTL EQUITY INDEX F 27,162 1,628,362 0.58%
65 APPLE INC 17,431 1,619,863 0.58%
66 NUSTAR ENERGY LP 25,685 1,592,727 0.57%
67 POWERSHARES DB CMDTY IDX TRA 59,498 1,581,457 0.56%
68 VANGUARD INDEX FDS 13,023 1,545,439 0.55%
69 FIRST TR EXCHANGE TRADED FD 24,990 1,488,904 0.53%
70 SELECT SECTOR SPDR TR 28,935 1,436,333 0.51%
71 ISHARES TR 11,953 1,425,515 0.51%
72 FIRST TRUST EXCH TRADED FUND 2 ENERGY ALPHADX ETF 47,502 1,391,657 0.50%
73 VANGUARD INDEX FDS 11,526 1,349,925 0.48%
74 ISHARES TR 26,129 1,327,353 0.47%
75 FORD MTR CO DEL 76,269 1,314,878 0.47%
76 POWERSHARES ETF TRUST 68,520 1,247,064 0.44%
77 GS FIN CORP 64,166 1,230,069 0.44%
78 CLAYMORE EXCHANGE TRD FD TR 46,341 1,211,354 0.43%
79 ISHARES TR 14,566 1,121,291 0.40%
80 Magnum Hunter Resources Corp 127,196 1,043,007 0.37%
81 PHILLIPS 66 12,932 1,040,121 0.37%
82 ISHARES TR 8,935 1,001,524 0.36%
83 FIRST TR EXCHANGE TRADED FD 33,032 963,543 0.34%
84 VERIZON COMMUNICATIONS INC 19,473 952,814 0.34%
85 ISHARES TR 7,420 951,318 0.34%
86 AMERICAN RLTY CAP PPTYS INC 74,071 928,110 0.33%
87 MICROSOFT CORP 21,611 901,179 0.32%
88 PROCTER AND GAMBLE CO 11,445 899,463 0.32%
89 PNC FINL SVCS GROUP INC 9,980 888,719 0.32%
90 FIRST TR EXCHANGE TRADED FD 16,467 877,197 0.31%
91 KIMBERLY CLARK CORP 7,679 854,058 0.30%
92 ISHARES TR 8,468 820,380 0.29%
93 CLOROX CO DEL 8,927 815,928 0.29%
94 FREEPORT-MCMORAN INC 21,962 801,613 0.29%
95 ISHARES TR 10,620 800,632 0.29%
96 TARGET CORP 13,736 796,001 0.28%
97 POWERSHARES QQQ TRUST 8,247 774,476 0.28%
98 Kinder Morgan Inc. 8,730 717,693 0.26%
99 VANGUARD MORTG-BACK SEC ETF 13,582 714,685 0.25%
100 FIRST TR EXCHANGE TRADED FD 21,797 708,838 0.25%
Page 2 of 19
Restatement filing (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES 20 YEAR TREASURY BOND ETF 70,476 8,000,436 2.85%
2 SPDR SERIES TRUST 157,129 6,556,993 2.34%
3 ISHARES TR 56,097 6,137,012 2.19%
4 VANGUARD INDEX FDS 74,535 5,578,199 1.99%
5 ISHARES TR 128,423 5,551,726 1.98%
6 ISHARES TR 25,907 5,103,679 1.82%
7 AT&T INC 110,529 3,908,305 1.39%
8 VANGUARD WHITEHALL FDS 51,600 3,421,854 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227,027 1.15%
10 ISHARES TR 78,623 3,137,844 1.12%
11 COCA COLA CO 73,085 3,095,881 1.10%
12 CONOCOPHILLIPS 35,562 3,048,730 1.09%
13 SPDR SER TR 97,269 3,011,448 1.07%
14 ISHARES TR 24,082 2,778,100 0.99%
15 VANGUARD TAX-MANAGED FDS 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 TR 24,282 2,627,798 0.94%
20 DUKE ENERGY CORP NEW 35,030 2,598,876 0.93%
21 VANGUARD INDEX FDS 31,956 2,586,838 0.92%
22 SPDR S&P 500 ETF TR 13,060 2,556,103 0.91%
23 DICKS SPORTING GOODS INC 53,308 2,482,020 0.88%
24 ABBOTT LABS 60,222 2,463,080 0.88%
25 ISHARES TR 27,059 2,460,475 0.88%
26 WAL-MART STORES INC 32,711 2,455,615 0.87%
27 BAXTER INTL INC 33,261 2,404,770 0.86%
28 APOLLO GLOBAL MGMT LLC 86,383 2,394,537 0.85%
29 EBAY INC 47,787 2,392,217 0.85%
30 SPDR SERIES TRUST 54,756 2,390,099 0.85%
31 VANGUARD MALVERN FDS 47,446 2,377,994 0.85%
32 ULTRA PETROLEUM CORP 79,901 2,372,261 0.84%
33 EXPRESS SCRIPTS HLDG CO 34,195 2,370,739 0.84%
34 INTERNATIONAL BUSINESS MACHS 12,837 2,326,963 0.83%
35 WESTERN UN CO 133,778 2,319,711 0.83%
36 JPMORGAN CHASE & CO 44,222 2,316,348 0.83%
37 GOOGLE INC 3,989 2,294,792 0.82%
38 CONSOLIDATED EDISON INC 39,721 2,293,491 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278,314 0.81%
40 LOWES COS INC 47,176 2,263,976 0.81%
41 VANGUARD BD INDEX FDS 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 VARCO INC 26,514 2,183,428 0.78%
46 BLACKROCK INC 6,831 2,183,188 0.78%
47 CME GROUP INC 30,408 2,157,448 0.77%
48 PHILIP MORRIS INTL INC 25,280 2,131,357 0.76%
49 ISHARES TR 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 MSCI SINGAP ETF 17,812 241 0.09%
2 JDS UNIPHASE CORP COM PAR $0.001 256 3 0.00%
3 REVOLUTION LIGHTING TECHNOLO COM 500 1 0.00%
4 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 29 0.01%
5 FRONTLINE LTD ORD 760 2 0.00%
6 INTERCONTINENTAL HTLS GRP PL 566 23 0.01%
7 OI S.A. SPN ADR 312 0 0.00%
8 PEABODY ENERGY CORP 2,273 37 0.01%
9 Williams Partners Lp 400 22 0.01%
10 * SANDRIDGE ENERGY INC COM 100 1 0.00%
11 3-D SYS CORP DEL 2,960 177 0.06%
12 3M CO 3,575 512 0.18%
13 ABB LTD 2,226 51 0.02%
14 ABBOTT LABS 60,222 2,463 0.88%
15 ABBVIE INC 46,644 2,633 0.94%
16 ACCENTURE PLC IRELAND 637 51 0.02%
17 ACUITY BRANDS INC 420 58 0.02%
18 ADAMS DIVERSIFIED EQUITY FD 1,426 20 0.01%
19 ADOBE INC 100 7 0.00%
20 ADVANCE AUTO PARTS INC 794 107 0.04%
21 ADVENT CLAYMORE CV SECS & INCORPORATED 325 3 0.00%
22 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
23 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69 0.02%
24 ADVISORSHARES TR 56 3 0.00%
25 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,875 94 0.03%
26 AEGON N V 225 2 0.00%
27 AETNA INC NEW 76 6 0.00%
28 AFLAC INC 8,364 521 0.19%
29 AGL Resources Inc 100 6 0.00%
30 AGRIUM INC 150 14 0.00%
31 AIR PRODS & CHEMS INC 2,398 308 0.11%
32 AK STL HLDG CORP 3,245 26 0.01%
33 AKAMAI TECHNOLOGIES INC 350 21 0.01%
34 AKORN INCORPORATED 1,013 34 0.01%
35 ALEXION PHARMACEUTIC 200 31 0.01%
36 ALLIANCE RES PARTNER L P 8,231 384 0.14%
37 ALLIANCEBERNSTEIN GLOBAL HIG 1,181 17 0.01%
38 ALLIANT ENERGY CORP 1,650 100 0.04%
39 ALLIANZGI CONV & INCOME FD 1,900 20 0.01%
40 ALLSTATE CORP 185 11 0.00%
41 ALPS ETF TR 300 9 0.00%
42 ALPS ETF TR 93,199 1,771 0.63%
43 ALPS ETF TR 5 0 0.00%
44 ALTRIA GROUP INC 48,154 2,020 0.72%
45 AMAZON COM INC 6,764 2,197 0.78%
46 AMBEV SA 33,136 233 0.08%
47 AMER STATES WTR CO 3,325 110 0.04%
48 AMEREN CORP 2,400 98 0.03%
49 AMERICAN ELEC PWR INC 9,419 525 0.19%
50 AMERICAN INTL GROUP INC 194 11 0.00%
Page 1 of 19