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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
351 HOLLYFRONTIER CORP 1,316 57,496 0.02%
352 HOME DEPOT INC 1,706 138,118 0.05%
353 HONDA MOTOR LTD 260 9,097 0.00%
354 HORMEL FOODS CORP 20 987 0.00%
355 HOSPITALITY PPTYS TR 100 3,040 0.00%
356 HSBC HLDGS PLC 6,500 164,710 0.06%
357 HSBC HLDGS PLC 43 2,184 0.00%
358 HUGOTON RTY TR TEX 200 2,196 0.00%
359 HUNT J B TRANS SVCS INC 1,138 83,962 0.03%
360 HUNTINGTON BANCSHARES INC 33,833 322,767 0.11%
361 HUNTSMAN CORP 2,119 59,544 0.02%
362 Howard Bancorp Inc 780 7,504 0.00%
363 IAMGOLD CORP 300 1,236 0.00%
364 ICAHN ENTERPRISES LP 5,970 595,209 0.21%
365 ICON PLC 1,270 59,830 0.02%
366 ILLINOIS TOOL WKS INC 2,720 238,163 0.08%
367 IMAX CORP 100 2,848 0.00%
368 INGERSOLL-RAND PLC 20 1,250 0.00%
369 INSYS THERAPEUTICS INC NEW COM NEW 180 5,621 0.00%
370 INTEL CORP 11,031 340,858 0.12%
371 INTERNATIONAL BUSINESS MACHS 12,837 2,326,963 0.83%
372 INTL PAPER CO 1,200 60,564 0.02%
373 INVESCO MORTGAGE CAPITAL INC 800 13,888 0.00%
374 INVESCO SR INCOME TR 1,372 6,874 0.00%
375 IONIS PHARMACEUTICAL 300 10,335 0.00%
376 IPATH BLOOMBERG COMMODITY INDEX TOTAL RETURN ETN 15,978 630,172 0.22%
377 IPG PHOTONICS CORP 328 22,566 0.01%
378 ISHARES 1,025 59,717 0.02%
379 ISHARES 292 9,405 0.00%
380 ISHARES 780 37,268 0.01%
381 ISHARES 2,437 50,885 0.02%
382 ISHARES 20 YEAR TREASURY BOND ETF 70,476 8,000,436 2.85%
383 ISHARES 5-10 YEAR INVESTMENT GRADE CORPORATE BOND ETF 2,837 312,609 0.11%
384 ISHARES 7-10 YEAR TREASURY BOND ETF 946 97,987 0.03%
385 ISHARES COHEN & STEERS REIT ETF 50 4,367 0.00%
386 ISHARES GOLD TRUST 1,580 20,350 0.01%
387 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 3,216 306,163 0.11%
388 ISHARES INC 7,991 274,251 0.10%
389 ISHARES INC 520 25,308 0.01%
390 ISHARES INC 3,865 190,351 0.07%
391 ISHARES INC 560 31,114 0.01%
392 ISHARES INC 2,877 148,741 0.05%
393 ISHARES MSCI EAFE SMALL CAP IDX FD 11,470 606,992 0.22%
394 ISHARES MSCI SPAN CP ETF 4,557 195,131 0.07%
395 ISHARES MSCI TAIWAN ETF 15,937 251,805 0.09%
396 ISHARES NASDAQ BIOTECHNOLOGY ETF 95 55,544 0.02%
397 ISHARES NORTH AMERICAN NATURAL RESOURCES ETF 799 39,910 0.01%
398 ISHARES RUSSELL 1000 ETF 2,325 256,006 0.09%
399 ISHARES RUSSELL 2000 GROWTH ETF 593 82,083 0.03%
400 ISHARES RUSSELL 3000 ETF 3,187 375,237 0.13%
Page 8 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 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 INC 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