Dark
Light
System
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 ICON PLC 1,270 59,830 0.02%
352 ISHARES 1,025 59,717 0.02%
353 HUNTSMAN CORP 2,119 59,544 0.02%
354 Crestwood Equity Partners LP 4,000 59,480 0.02%
355 WESTPORT FUEL SYSTEMS INC 3,300 59,466 0.02%
356 MERCADOLIBRE INC 622 59,339 0.02%
357 NOVO-NORDISK A S 1,279 59,077 0.02%
358 ISHARES TR 566 58,638 0.02%
359 MGE ENERGY INC 1,482 58,554 0.02%
360 PROSHARES TR 1,265 58,317 0.02%
361 ACUITY BRANDS INC 420 58,065 0.02%
362 SANOFI 1,090 57,955 0.02%
363 VISA INC 275 57,945 0.02%
364 ENERGY TRANSFER L P 980 57,761 0.02%
365 HOLLYFRONTIER CORP 1,316 57,496 0.02%
366 JOHNSON CTLS INTL PLC 1,139 56,870 0.02%
367 MATTEL INC 1,450 56,507 0.02%
368 PPL CORP 1,566 55,640 0.02%
369 ISHARES NASDAQ BIOTECHNOLOGY ETF 95 55,544 0.02%
370 NORTH EUROPEAN OIL RTY TR SH BEN INT 2,300 55,177 0.02%
371 NVIDIA CORPORATION 2,937 54,452 0.02%
372 HATTERAS FINL CORP 2,733 54,141 0.02%
373 CAMECO CORP 2,759 54,104 0.02%
374 COSTCO WHSL CORP NEW 466 53,665 0.02%
375 CORE LABORATORIES N V 321 53,626 0.02%
376 ENBRIDGE INC 1,126 53,451 0.02%
377 RSX - Market Vectors Russia ETF 2,013 53,002 0.02%
378 ISHARES TR 602 52,693 0.02%
379 NOVARTIS A G 582 52,688 0.02%
380 WATERS CORP 500 52,220 0.02%
381 iShares S&P Asia 50 1,075 51,869 0.02%
382 GENERAL MTRS CO 1,428 51,836 0.02%
383 SPDR INDEX SHS FDS 1,168 51,672 0.02%
384 ACCENTURE PLC IRELAND 637 51,495 0.02%
385 YUM BRANDS INC 634 51,481 0.02%
386 CSX CORP 1,670 51,453 0.02%
387 ABB LTD 2,226 51,243 0.02%
388 ISHARES 2,437 50,885 0.02%
389 CHINA MOBILE LIMITED 1,045 50,797 0.02%
390 CORELOGIC INC 1,673 50,792 0.02%
391 BLACKROCK CORE BD TR 3,625 50,605 0.02%
392 Spdr Ser Tr Nuveen Barcl 2,021 49,171 0.02%
393 WESTLAKE CHEM CORP 587 49,167 0.02%
394 HERSHEY CO 500 48,685 0.02%
395 VANGUARD WORLD FD 727 48,665 0.02%
396 CALUMET SPECIALTY PRODS PTNR 1,500 47,700 0.02%
397 BHP BILLITON LTD 695 47,573 0.02%
398 Columbia Emerging Mkts Consume 1,710 47,418 0.02%
399 CHIPOTLE MEXICAN GRILL INC 80 47,401 0.02%
400 SPDR DOW JONES REIT ETF 568 47,144 0.02%
Page 8 of 19
Restatement filing (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES MSCI SINGAP ETF 17,812 240,818 0.09%
2 JDS UNIPHASE CORP COM PAR $0.001 256 3,192 0.00%
3 REVOLUTION LIGHTING TECHNOLO COM 500 1,150 0.00%
4 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 28,764 0.01%
5 FRONTLINE LTD ORD 760 2,219 0.00%
6 INTERCONTINENTAL HTLS GRP PL 566 23,495 0.01%
7 OI S.A. SPN ADR 312 268 0.00%
8 PEABODY ENERGY CORP 2,273 37,164 0.01%
9 Williams Partners Lp 400 21,716 0.01%
10 * SANDRIDGE ENERGY INC COM 100 715 0.00%
11 3-D SYS CORP DEL 2,960 177,008 0.06%
12 3M CO 3,575 512,083 0.18%
13 ABB LTD 2,226 51,243 0.02%
14 ABBOTT LABS 60,222 2,463,080 0.88%
15 ABBVIE INC 46,644 2,632,587 0.94%
16 ACCENTURE PLC IRELAND 637 51,495 0.02%
17 ACUITY BRANDS INC 420 58,065 0.02%
18 ADAMS DIVERSIFIED EQUITY FD 1,426 19,608 0.01%
19 ADOBE INC 100 7,236 0.00%
20 ADVANCE AUTO PARTS INC 794 107,126 0.04%
21 ADVENT CLAYMORE CV SECS & INCORPORATED 300 5,652 0.00%
22 ADVENT CLAYMORE ENH GRW & IN 325 3,348 0.00%
23 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69,139 0.02%
24 ADVISORSHARES TR 56 2,985 0.00%
25 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,875 93,600 0.03%
26 AEGON N V 225 1,973 0.00%
27 AETNA INC NEW 76 6,162 0.00%
28 AFLAC INC 8,364 520,659 0.19%
29 AGL Resources Inc 100 5,503 0.00%
30 AGRIUM INC 150 13,745 0.00%
31 AIR PRODS & CHEMS INC 2,398 308,431 0.11%
32 AK STL HLDG CORP 3,245 25,830 0.01%
33 AKAMAI TECHNOLOGIES INC 350 21,371 0.01%
34 AKORN INCORPORATED 1,013 33,682 0.01%
35 ALEXION PHARMACEUTIC 200 31,250 0.01%
36 ALLIANCE RES PARTNER L P 8,231 383,976 0.14%
37 ALLIANCEBERNSTEIN GLOBAL HIG 1,181 16,971 0.01%
38 ALLIANT ENERGY CORP 1,650 100,419 0.04%
39 ALLIANZGI CONV & INCOME FD 1,900 20,121 0.01%
40 ALLSTATE CORP 185 10,863 0.00%
41 ALPS ETF TR 93,199 1,770,781 0.63%
42 ALPS ETF TR 300 9,429 0.00%
43 ALPS ETF TR 5 214 0.00%
44 ALTRIA GROUP INC 48,154 2,019,579 0.72%
45 AMAZON COM INC 6,764 2,196,812 0.78%
46 AMBEV SA 33,136 233,277 0.08%
47 AMER STATES WTR CO 3,325 110,490 0.04%
48 AMEREN CORP 2,400 98,112 0.03%
49 AMERICAN ELEC PWR INC 9,419 525,298 0.19%
50 AMERICAN INTL GROUP INC 194 10,589 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 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