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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
651 CROWN CASTLE INTL CORP 150 11,139 0.00%
652 WISDOMTREE GLOBAL 225 11,113 0.00%
653 OMEGA HEALTHCARE INVS INC 300 11,058 0.00%
654 SALESFORCE COM INC 190 11,035 0.00%
655 NETFLIX INC 25 11,015 0.00%
656 COMPUTER PROGRAMS & SYS INC COM 172 10,939 0.00%
657 ALLSTATE CORP 185 10,863 0.00%
658 HARTFORD FINL SVCS GROUP INC 300 10,743 0.00%
659 FIRST TR MID CAP CORE ALPHAD 200 10,690 0.00%
660 AQUA AMERICA INC 406 10,645 0.00%
661 AMERICAN INTL GROUP INC 194 10,589 0.00%
662 FIRST AMERN FINL CORP 378 10,505 0.00%
663 COACH INC 305 10,428 0.00%
664 GAP 249 10,351 0.00%
665 IONIS PHARMACEUTICAL 300 10,335 0.00%
666 Noodles & Co Com 300 10,317 0.00%
667 NUVEEN INVT MN QTY I 700 10,276 0.00%
668 COMERICA INC 200 10,032 0.00%
669 SYNTEL INCORPORATED 115 9,885 0.00%
670 MANULIFE FINL CORP 494 9,816 0.00%
671 HIBBETT SPORTING GOODS 180 9,751 0.00%
672 Van Eck 322 9,712 0.00%
673 XCEL ENERGY INC 300 9,669 0.00%
674 DIREXION SHS ETF TR 200 9,654 0.00%
675 CNH INDL N V 943 9,637 0.00%
676 FIDUCIARY CLAYMORE MLP OPP F 335 9,635 0.00%
677 DOLLAR TREE INC 176 9,585 0.00%
678 ZOETIS INC 295 9,520 0.00%
679 NUVEEN PFD INCOME OPPORTUN 980 9,506 0.00%
680 BEYOND INC 600 9,462 0.00%
681 ISHARES TR 95 9,434 0.00%
682 ALPS ETF TR 300 9,429 0.00%
683 ISHARES 292 9,405 0.00%
684 ETFS Physical Platinum Shares 65 9,401 0.00%
685 BOSTON BEER INC 42 9,388 0.00%
686 GALLAGHER ARTHUR J & CO 200 9,320 0.00%
687 R H 100 9,305 0.00%
688 ROSS STORES INC 139 9,192 0.00%
689 HONDA MOTOR LTD 260 9,097 0.00%
690 PEGASYSTEMS INC 430 9,082 0.00%
691 SOUTH JERSEY INDS INC COM 150 9,062 0.00%
692 HANCOCK JOHN PFD INCOME FD I 500 8,955 0.00%
693 NUVEEN REAL ESTATE INCOME FD 800 8,944 0.00%
694 PRUDENTIAL FINL INC 100 8,877 0.00%
695 BUCKLE INC 200 8,872 0.00%
696 POPEYES LA KITCHEN INC 200 8,742 0.00%
697 NEOGEN CORP COM 215 8,701 0.00%
698 FORWARD AIR CORP COM 180 8,613 0.00%
699 NUVEEN PREFERRED SECURITIES 950 8,579 0.00%
700 SPDR INDEX SHS FDS 114 8,577 0.00%
Page 14 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 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