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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
401 EATON VANCE LTD DUR INCOME F COM 3,020 47,052 0.02%
402 BARCLAYS BK PLC 314 46,883 0.02%
403 FIRST TR HIGH INCOME L/S FD 2,511 45,575 0.02%
404 Market Vectors Oil Services 789 45,573 0.02%
405 Brookfield Asset Mgmt Inc 1,011 44,504 0.02%
406 Nielsen Holdings B.V. 911 44,102 0.02%
407 Vanguard Materials ETF 394 44,033 0.02%
408 El Paso Partners Pipeline 1,195 43,295 0.02%
409 PUBLIC SVC ENTERPRISE GROUP 1,050 42,830 0.02%
410 OLD DOMINION FGHT LINES INC 661 42,092 0.01%
411 BLACKROCK CORPOR HI YLD FD I COM 3,363 41,331 0.01%
412 AutoZone, Inc. 77 41,290 0.01%
413 WESTAR ENERGY INC 1,068 40,787 0.01%
414 PERMIAN BASIN RTY TR 2,850 40,613 0.01%
415 BCE Inc 895 40,597 0.01%
416 PROSHARES TR S&P 500 350 40,523 0.01%
417 Waste Mgmt Inc 900 40,257 0.01%
418 ISHARES NORTH AMERICAN NATURAL RESOURCES ETF 799 39,910 0.01%
419 FIRST TR MULTI CAP VALUE ALP COM 845 39,732 0.01%
420 TRANSATLANTIC PETROLEUM LTD 3,487 39,717 0.01%
421 GRUPO AEROPORTUARIO DEL SURE 310 39,376 0.01%
422 POWERSHARES ETF TR II FDM HG YLD RAFI 1,975 38,710 0.01%
423 PITNEY BOWES INC 1,400 38,668 0.01%
424 EMPIRE DIST ELEC CO 1,500 38,520 0.01%
425 Lyondellbasell Industries NV 394 38,474 0.01%
426 WISDOMTREE EARNINGS 500 FUND ETF 562 38,340 0.01%
427 CPFL ENERGIA S A SPONSORED ADR 2,106 38,329 0.01%
428 Gilead Sciences Inc 460 38,139 0.01%
429 Las Vegas Sands Corp 500 38,110 0.01%
430 ANSYS, Inc. 500 37,910 0.01%
431 PETROLEO BRASILEIRO SA 2,588 37,862 0.01%
432 TRINITY INDS INC 866 37,862 0.01%
433 Schw Intl Eq Etf 1,143 37,696 0.01%
434 Continental Resources Inc 238 37,614 0.01%
435 ISHARES MSCI BRZ CAP ETF 780 37,268 0.01%
436 LINN ENERGY LLC UNIT LTD LIAB 1,152 37,267 0.01%
437 CURIS INC COM 20,000 37,200 0.01%
438 PEABODY ENERGY CORP 2,273 37,164 0.01%
439 ProShares Short S&P500 (sh) 1,555 36,325 0.01%
440 PROSHARES TR PSHS ULT MCAP400 500 35,980 0.01%
441 ISHARES TR 494 35,869 0.01%
442 VANGUARD INTL EQUITY INDEX F 320 35,571 0.01%
443 Amgen Inc 300 35,511 0.01%
444 RACKSPACE HOSTING INC 1,050 35,343 0.01%
445 ISHARES TR CORE S&P US ETF 475 35,340 0.01%
446 EPAM SYS INC 807 35,306 0.01%
447 JAZZ PHARMACEUTICALS PLC 240 35,282 0.01%
448 ISHARES TR U.S. MED DVC ETF 344 35,095 0.01%
449 SSGA ACTIVE ETF TR 700 35,000 0.01%
450 CNOOC ADR 190 34,065 0.01%
Page 9 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 Core US Aggregate Bond 56,097 6,137,012 2.19%
4 VANGUARD REIT ETF 74,535 5,578,199 1.99%
5 ISHARES TR 128,423 5,551,726 1.98%
6 ISHARES CORE S&P 500 ETF 25,907 5,103,679 1.82%
7 A T & T Inc. New 110,529 3,908,305 1.39%
8 Vanguard High Div Index 51,600 3,421,854 1.22%
9 Berkshire Hathaway Cl B 25,498 3,227,027 1.15%
10 ISHARES U.S. PREFERRED STOCK ETF 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 BLOOMBERG SRT TR 97,269 3,011,448 1.07%
14 Ishares TIP Bnd 24,082 2,778,100 0.99%
15 VANGUARD FTSE DEVELOPED MARKETS ETF 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 Value VIPERs 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 53,308 2,482,020 0.88%
24 Abbott Laboratories 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 ST Inflation Protecte 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 Machines Corp. 12,837 2,326,963 0.83%
35 WESTERN UN CO 133,778 2,319,711 0.83%
36 JPMORGAN ALERIAN MLP 44,222 2,316,348 0.83%
37 Alphabet Inc Class C 3,989 2,294,792 0.82%
38 CONSOL EDISON 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 FD INC 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 MSCI EAFE 31,023 2,121,043 0.76%
50 General Electric Company 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 TR 70,476 8,000 2.85%
2 SPDR SERIES TRUST 157,129 6,557 2.34%
3 iShares Core US Aggregate Bond 56,097 6,137 2.19%
4 VANGUARD REIT ETF 74,535 5,578 1.99%
5 ISHARES TR 128,423 5,552 1.98%
6 ISHARES CORE S&P 500 ETF 25,907 5,104 1.82%
7 A T & T Inc. New 110,529 3,908 1.39%
8 Vanguard High Div Index 51,600 3,422 1.22%
9 Berkshire Hathaway Cl B 25,498 3,227 1.15%
10 ISHARES U.S. PREFERRED STOCK ETF 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 BLOOMBERG SRT TR 97,269 3,011 1.07%
14 Ishares TIP Bnd 24,082 2,778 0.99%
15 VANGUARD FTSE DEVELOPED MARKETS ETF 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 Value VIPERs 31,956 2,587 0.92%
22 SPDR S&P 500 ETF 13,060 2,556 0.91%
23 DICKS SPORTING GOODS INC 53,308 2,482 0.88%
24 Abbott Laboratories 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 ST Inflation Protecte 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 Intl Business Machines Corp. 12,837 2,327 0.83%
35 WESTERN UN CO 133,778 2,320 0.83%
36 JPMORGAN ALERIAN MLP 44,222 2,316 0.82%
37 Alphabet Inc Class C 3,989 2,295 0.82%
38 CONSOL EDISON 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 FD INC 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 MSCI EAFE 31,023 2,121 0.76%
50 General Electric Company 78,940 2,075 0.74%
Page 1 of 19