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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 CALIFORNIA WTR SVC GROUP 760 18,392 0.01%
352 DirectTV Com 218 18,532 0.01%
353 SEI INVESTMENTS CO 567 18,581 0.01%
354 SMUCKER J M CO 175 18,650 0.01%
355 FRANKLIN UNVL TR 2,500 18,820 0.01%
356 BROWN FORMAN CORP 200 18,834 0.01%
357 GUGGENHEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF 703 18,926 0.01%
358 H&Q Life Sciences Invt 931 19,328 0.01%
359 RYDEX ETF TRUST 252 19,331 0.01%
360 MONDELEZ INTL INC 514 19,332 0.01%
361 DUKE REALTY CORP 1,067 19,377 0.01%
362 VERA BRADLEY INC 887 19,399 0.01%
363 US BANCORP DEL 451 19,537 0.01%
364 ADAMS DIVERSIFIED EQUITY FD 1,426 19,608 0.01%
365 WISDOMTREE TRUST EUROPE SMCP DV ETF 325 19,637 0.01%
366 TELEFONICA S A 1,152 19,768 0.01%
367 CROSS TIMBERS RTY TR 600 19,860 0.01%
368 ALLIANZGI CONV & INCOME FD 1,900 20,121 0.01%
369 TRAVELERS COMPANIES INC 214 20,131 0.01%
370 FIRST TR EXCH TRD ALPHDX FD 800 20,144 0.01%
371 BREITBURN ENERGY PARTNERS LP COM 915 20,240 0.01%
372 M & T BK CORP 164 20,344 0.01%
373 ISHARES GOLD TRUST 1,580 20,350 0.01%
374 HARLEY DAVIDSON INC 292 20,396 0.01%
375 Spectra Energy Corp Com 484 20,560 0.01%
376 BLACKROCK MUN INCOME TR 1,500 20,580 0.01%
377 PROTO LABS INC COM 252 20,644 0.01%
378 OCCIDENTAL PETE CORP DEL 203 20,834 0.01%
379 VALERO ENERGY CORP NEW 416 20,842 0.01%
380 SOUTHERN COPPER CORP 695 21,107 0.01%
381 SOLARCITY CORP 300 21,180 0.01%
382 GREEN PLAINS INC COM 645 21,201 0.01%
383 AKAMAI TECHNOLOGIES INC 350 21,371 0.01%
384 BP PRUDHOE BAY RTY TR 219 21,668 0.01%
385 Williams Partners Lp 400 21,716 0.01%
386 PEMBINA PIPELINE CORP 510 21,930 0.01%
387 CITIGROUPINC 466 21,949 0.01%
388 NUVEEN PERFORMANCE PLUS MUNICIPAL FUND INC 1,500 21,990 0.01%
389 RAYMOND JAMES FINANC 435 22,068 0.01%
390 ONEOK INC NEW 326 22,194 0.01%
391 VANGUARD WORLD FD 200 22,326 0.01%
392 IPG PHOTONICS CORP 328 22,566 0.01%
393 GLAXOSMITHKLINE PLC 422 22,569 0.01%
394 NOKIA CORP 3,000 22,680 0.01%
395 ANHEUSER BUSCH INBEV SA/NV 200 22,988 0.01%
396 PAN AMERN SILVER CORP 1,500 23,025 0.01%
397 VANGUARD INDEX FDS 219 23,105 0.01%
398 NIKE INC 300 23,265 0.01%
399 INTERCONTINENTAL HTLS GRP PL 566 23,495 0.01%
400 CREDIT SUISSE NASSAU 525 23,615 0.01%
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