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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
1 iPath S&P 500 VIX Short-Term F 212 6,063 0.00%
2 ZOETIS INC 295 9,520 0.00%
3 ZIMMER BIOMET HLDGS INC 12 1,246 0.00%
4 ZAGG INCORPORATED 1,310 7,113 0.00%
5 YUM BRANDS INC 634 51,481 0.02%
6 YELP INC 100 7,668 0.00%
7 YANDEX N V 787 28,049 0.01%
8 YAHOO INC 515 18,092 0.01%
9 XCEL ENERGY INC 300 9,669 0.00%
10 Wuxi Pharmatech Inc ADR 63 2,070 0.00%
11 WisdomTree Earnings 500 ETF 562 38,340 0.01%
12 WindStream Corp (win) 3,216 32,031 0.01%
13 Warren Resources Inc 409 2,536 0.00%
14 Walgreens 3,885 287,995 0.10%
15 WPX ENERGY INC 666 15,924 0.01%
16 WISDOMTREE U S 236 16,673 0.01%
17 WISDOMTREE TRUST EUROPE SMCP DV ETF 325 19,637 0.01%
18 WISDOMTREE TR 100 6,478 0.00%
19 WISDOMTREE TR 7,490 388,282 0.14%
20 WISDOMTREE TR 100 8,263 0.00%
21 WISDOMTREE TR 100 7,390 0.00%
22 WISDOMTREE TR 4,456 249,491 0.09%
23 WISDOMTREE GLOBAL 225 11,113 0.00%
24 WILLIAMS COS INC DEL 2,000 116,420 0.04%
25 WHOLE FOODS MKT INC 400 15,452 0.01%
26 WHITEWAVE FOODS CO 100 3,237 0.00%
27 WESTPORT FUEL SYSTEMS INC 3,300 59,466 0.02%
28 WESTLAKE CHEM CORP 587 49,167 0.02%
29 WESTERN UN CO 133,778 2,319,711 0.83%
30 WESTERN GAS PARTNERS LP 890 68,067 0.02%
31 WESTERN ASSET HIGH INCM FD I 1,500 14,145 0.01%
32 WESTAR ENERGY 1,068 40,787 0.01%
33 WERNER ENTERPRISES INC 3,600 95,436 0.03%
34 WELLTOWER INC. 125 7,834 0.00%
35 WELLS FARGO CO NEW 3,935 206,824 0.07%
36 WATERS CORP 500 52,220 0.02%
37 WASTE MGMT INC DEL 900 40,257 0.01%
38 WAL-MART STORES INC 32,711 2,455,615 0.87%
39 W P CAREY INC 1,789 115,212 0.04%
40 Vanguard Natural Res LLC 1,000 32,200 0.01%
41 Van Eck 322 9,712 0.00%
42 VODAFONE GROUP PLC NEW 4,164 139,036 0.05%
43 VISA INC 275 57,945 0.02%
44 VIAD CORP 296 7,057 0.00%
45 VERIZON COMMUNICATIONS INC 19,473 952,814 0.34%
46 VERIFONE SYS INC 320 11,760 0.00%
47 VERA BRADLEY INC 887 19,399 0.01%
48 VENTAS INC 238 15,256 0.01%
49 VELOCITYSHARES DAILY INVERSE VIX SHORT TERM ETN 525 23,615 0.01%
50 VECTOR GROUP LTD 3,230 66,796 0.02%
Page 1 of 19
Restatement filing (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
601 MEDIFAST INC COM 500 15,205 0.01%
602 GERDAU S A 2,574 15,161 0.01%
603 TORONTO DOMINION BK ONT 293 15,063 0.01%
604 BITAUTO HLDGS LIMITED SPONSORED ADS 307 14,951 0.01%
605 Chubb Corporation 162 14,932 0.01%
606 ISHARES TR 144 14,479 0.01%
607 SINCLAIR BROADCAST GROUP INC 413 14,352 0.01%
608 ATLANTIC PWR CORP 3,290 14,344 0.01%
609 DENBURY RES INC COM NEW 775 14,307 0.01%
610 SCHWAB CHARLES CORP 531 14,300 0.01%
611 WESTERN ASSET HIGH INCM FD I 1,500 14,145 0.01%
612 ANADARKO PETR 127 13,903 0.00%
613 INVESCO MORTGAGE CAPITAL INC 800 13,888 0.00%
614 DUNKIN BRANDS GROUP INC COM 302 13,835 0.00%
615 CONSTELLATION BRANDS INC 156 13,748 0.00%
616 AGRIUM INC 150 13,745 0.00%
617 POWERSHARES ETF TRUST 650 13,657 0.00%
618 CHICAGO BRIDGE & IRON CO N V 200 13,640 0.00%
619 AMERICAN RAILCAR INDS INC 200 13,554 0.00%
620 EASTMAN CHEM CO 155 13,539 0.00%
621 POWERSHARES ETF TR II 909 13,299 0.00%
622 MENS WEARHOUSE INC 235 13,113 0.00%
623 UNILEVER N V 298 13,040 0.00%
624 PORTLAND GEN ELEC CO 375 13,001 0.00%
625 ISHARES TR 200 12,904 0.00%
626 BARCLAYS BANK 500 12,785 0.00%
627 PowerShares Russell Midcap Equal Wt ETF 335 12,769 0.00%
628 MBT FINL CORP 2,308 12,625 0.00%
629 GRNHNTR ENRGY 6,365 12,603 0.00%
630 PARKER HANNIFIN CORP 100 12,573 0.00%
631 DIREXION SHS ETF TR 250 12,553 0.00%
632 NISOURCE 318 12,510 0.00%
633 ECHOSTAR CORP CL A 236 12,494 0.00%
634 GENERAL AMERN INVS CO INC 333 12,261 0.00%
635 SUN LIFE FINL INC 334 12,261 0.00%
636 FIREEYE INC 300 12,165 0.00%
637 LUMEN TECHNOLOGIES INC 336 12,163 0.00%
638 POWERSHARES ETF TRUST 400 12,128 0.00%
639 ISHARES TR 109 12,019 0.00%
640 Pandora Media 400 11,800 0.00%
641 VANGUARD LONG TERM BOND ETF 131 11,776 0.00%
642 VERIFONE SYS INC 320 11,760 0.00%
643 TESORO CORP 200 11,734 0.00%
644 L BRANDS INC 200 11,732 0.00%
645 POWERSHARES ETF TRUST 116 11,699 0.00%
646 VANGUARD STAR FDS 215 11,672 0.00%
647 KBR INC 489 11,663 0.00%
648 TJX COS INC NEW 219 11,640 0.00%
649 BED BATH & BEYOND INC 200 11,476 0.00%
650 NATIONAL HEALTH INVS INC 180 11,261 0.00%
Page 13 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 ISHARES TR 24,282 2,628 0.94%
19 HCP INC 63,512 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 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