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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 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 LP 4,000 59,480 0.02%
355 WESTPORT INNOVATIONS INC 3,300 59,466 0.02%
356 MERCADOLIBRE INC 622 59,339 0.02%
357 NOVO-NORDISK A S ADR 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 SPONSORED ADR 1,090 57,955 0.02%
363 VISA INC COM CL A 275 57,945 0.02%
364 ENERGY TRANSFER L P COM UT LTD PTN 980 57,761 0.02%
365 HOLLYFRONTIER CORP 1,316 57,496 0.02%
366 Johnson Controls 1,139 56,870 0.02%
367 MATTEL INC 1,450 56,507 0.02%
368 PPL CORP COM 1,566 55,640 0.02%
369 ISHARES NASDAQ BIOTECHNOLOGY ETF 95 55,544 0.02%
370 NORTH EUROPEAN OIL RTY TR 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 COM 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 COM 1,126 53,451 0.02%
377 RSX - Market Vectors Russia ETF 2,013 53,002 0.02%
378 ISHARES U.S. BASIC MATERIALS ETF 602 52,693 0.02%
379 NOVARTIS A G 582 52,688 0.02%
380 WATERS CORP 500 52,220 0.02%
381 UNIVERSAL CORP VA 1,075 51,869 0.02%
382 GENERAL MTRS CO COM 1,428 51,836 0.02%
383 SPDR DOW 1,168 51,672 0.02%
384 Accenture PLC 637 51,495 0.02%
385 YUM BRANDS INC 634 51,481 0.02%
386 CSX CORP COM 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 INTEL CORP 1,673 50,792 0.02%
391 BLACKROCK CORE BD TR 3,625 50,605 0.02%
392 SPDR Nuveen Barclays ST Muni Bond ETF 2,021 49,171 0.02%
393 WESTLAKE CHEM CORP 587 49,167 0.02%
394 The Hershey Company 500 48,685 0.02%
395 VANGUARD MEGA CAP ETF 727 48,665 0.02%
396 Calumet Specialty Products Partners LP 1,500 47,700 0.02%
397 BHP BILLITON LTD SPONSORED ADR 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 SERIES TRUST 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 TR 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 MSCI Emrg Mkt 128,423 5,551,726 1.98%
6 iShares S&P 500 25,907 5,103,679 1.82%
7 AT&T, Inc. 110,529 3,908,305 1.39%
8 VANGUARD WHITEHALL FDS INC 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 COM 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 FTSE DEVELOPED MARKETS ETF 62,123 2,645,819 0.94%
16 ABBVIE INC COM 46,644 2,632,587 0.94%
17 SYSCO CORP 70,199 2,628,953 0.94%
18 HCP INC REIT 63,512 2,628,127 0.94%
19 ISHARES MBS ETF 24,282 2,627,798 0.94%
20 DUKE ENERGY CORP NEW COM NEW 35,030 2,598,876 0.93%
21 Vanguard Value ETF 31,956 2,586,838 0.92%
22 SPDR S&P 500 ETF 13,060 2,556,103 0.91%
23 DICKS SPORTING GOODS INC COM 53,308 2,482,020 0.88%
24 ABBOTT LABS COM 60,222 2,463,080 0.88%
25 iShares Russell 1000 Growth 27,059 2,460,475 0.88%
26 WALMART INC COM 32,711 2,455,615 0.87%
27 BAXTER INTL INC COM 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 SHORT-TERM INFLATION-PROTECTED SECURITIES ETF 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 Intl Business Mach Corp. 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 COM 39,721 2,293,491 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278,314 0.81%
40 LOWES COS INC COM 47,176 2,263,976 0.81%
41 Vanguard Short Term Bond ETF 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 COM 30,408 2,157,448 0.77%
48 Philip Morris International Inc. 25,280 2,131,357 0.76%
49 iShares MSCI EAFE Index 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 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 29 0.01%
2 FMC TECHNOLOGIES INC COM 1,600 98 0.03%
3 FRONTIER COMMUNICATIONS CORP COM 729 4 0.00%
4 FRONTLINE LTD ORD 760 2 0.00%
5 INTERCONTINENTAL HTLS GRP PL 566 23 0.01%
6 OI S.A. SPN ADR 312 0 0.00%
7 * SANDRIDGE ENERGY INC COM 100 1 0.00%
8 3-D SYS CORP DEL 2,960 177 0.06%
9 3D SYSTEMS 2,040 179 0.06%
10 3M Company 3,575 512 0.18%
11 ABB LTD 2,226 51 0.02%
12 ABBOTT LABS COM 60,222 2,463 0.88%
13 ABBVIE INC COM 46,644 2,633 0.94%
14 ACXIOM CORP 290 6 0.00%
15 ADAMS DIVERSIFIED EQUITY FD 1,426 20 0.01%
16 ADOBE INC COM 100 7 0.00%
17 ADVANCE AUTO PARTS INC COM 794 107 0.04%
18 ADVENT CONV & INCOME FD COM 325 3 0.00%
19 ADVENT CONV & INCOME FD COM 300 6 0.00%
20 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69 0.02%
21 ADVISORSHARES NEWFLEET MULT-SECT 1,875 94 0.03%
22 ADVISORSHARES TR 56 3 0.00%
23 AEGON N V 225 2 0.00%
24 AETNA INC NEW 76 6 0.00%
25 AFLAC INC COM 8,364 521 0.19%
26 AGL Resources Inc 100 6 0.00%
27 AIR PRODS & CHEMS INC COM 2,398 308 0.11%
28 AK STL HLDG CORP 3,245 26 0.01%
29 AKAMAI TECHNOLOGIES INC COM 350 21 0.01%
30 AKORN INC 1,013 34 0.01%
31 ALEXION PHARMACEUTICALS INC 200 31 0.01%
32 ALLIANCE RESOURCE PARTNERS L P UT LTD PART 8,231 384 0.14%
33 ALLIANCEBERNSTEIN GBL HGH IN 1,181 17 0.01%
34 ALLIANT ENERGY CORP 1,650 100 0.04%
35 ALLIANZGI CONV & INCOME FD 1,900 20 0.01%
36 ALLSTATE CORP COM 185 11 0.00%
37 ALPS Alerian MLP ETF 93,199 1,771 0.63%
38 ALPS COHEN 5 0 0.00%
39 ALPS ETF TR 300 9 0.00%
40 AMAZON COM INC 6,764 2,197 0.78%
41 AMBEV SA SPONSORED ADR 33,136 233 0.08%
42 AMEREN CORP COM 2,400 98 0.03%
43 AMERICAN INTL GROUP INC 68 2 0.00%
44 AMERICAN INTL GROUP INC COM NEW 194 11 0.00%
45 AMERICAN RAILCAR INDS INC 200 14 0.00%
46 AMERICAN RLTY CAP PPTYS INC 74,071 928 0.33%
47 AMERICAN STS WTR CO 3,325 110 0.04%
48 AMETEK INC NEW 1,350 71 0.03%
49 AMGEN INC 300 36 0.01%
50 ANADARKO PETE CORP 127 14 0.00%
Page 1 of 19