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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
1 ISHARES 20 YEAR TREASURY BOND ETF 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 TR 128,423 5,551,726 1.98%
6 ISHARES TR 25,907 5,103,679 1.82%
7 AT&T INC 110,529 3,908,305 1.39%
8 VANGUARD WHITEHALL FDS 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 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 TAX-MANAGED FDS 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 INDEX FDS 31,956 2,586,838 0.92%
22 SPDR S&P 500 ETF TR 13,060 2,556,103 0.91%
23 DICKS SPORTING GOODS 53,308 2,482,020 0.88%
24 ABBOTT LABS 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 MALVERN FDS 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 INTERNATIONAL BUSINESS MACHS 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 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 FDS 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 TR 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
501 GENTHERM INC 592 26 0.01%
502 AK STL HLDG CORP 3,245 26 0.01%
503 EXTREME NETWORKS COM 5,540 25 0.01%
504 SCHLUMBERGER LTD 214 25 0.01%
505 VALEANT PHARMACEUTICALS INTL 200 25 0.01%
506 POWERSHARES ETF TR II 810 25 0.01%
507 PENNEY J C INC 2,767 25 0.01%
508 CHESAPEAKE ENERGY CORP 800 25 0.01%
509 GABELLI UTIL TR 3,400 25 0.01%
510 ISHARES INC 520 25 0.01%
511 Arris Group Inc 750 24 0.01%
512 FIRST TR EXCHANGE TRADED FD 450 24 0.01%
513 NORTHEASTUTILITI 500 24 0.01%
514 COVIDIEN PLC 266 24 0.01%
515 MFA FINANCIAL INC COM 2,945 24 0.01%
516 FIRST TR SR FLG RTE INCM FD 1,700 24 0.01%
517 VELOCITYSHARES DAILY INVERSE VIX SHORT TERM ETN 525 24 0.01%
518 VANGUARD INDEX FDS 219 23 0.01%
519 GLAXOSMITHKLINE PLC 422 23 0.01%
520 NOKIA CORP 3,000 23 0.01%
521 IPG PHOTONICS CORP 328 23 0.01%
522 NIKE INC 300 23 0.01%
523 PAN AMERN SILVER CORP 1,500 23 0.01%
524 ANHEUSER BUSCH INBEV SA/NV 200 23 0.01%
525 INTERCONTINENTAL HTLS GRP PL 566 23 0.01%
526 BP PRUDHOE BAY RTY TR 219 22 0.01%
527 ONEOK INC NEW 326 22 0.01%
528 CITIGROUP INC 466 22 0.01%
529 NUVEEN PERFORMANCE PLUS MUNICIPAL FUND INC 1,500 22 0.01%
530 Williams Partners Lp 400 22 0.01%
531 VANGUARD WORLD FD 200 22 0.01%
532 RAYMOND JAMES FINANC 435 22 0.01%
533 PEMBINA PIPELINE CORP 510 22 0.01%
534 OCCIDENTAL PETE CORP DEL 203 21 0.01%
535 SOUTHERN COPPER CORP 695 21 0.01%
536 SPECTRA ENERGY CORP 484 21 0.01%
537 PROTO LABS INC COM 252 21 0.01%
538 GREEN PLAINS INC COM 645 21 0.01%
539 AKAMAI TECHNOLOGIES INC 350 21 0.01%
540 VALERO ENERGY CORP NEW 416 21 0.01%
541 BLACKROCK MUN INCOME TR 1,500 21 0.01%
542 SOLARCITY CORP 300 21 0.01%
543 Breitburn Energy Partners LP 915 20 0.01%
544 ALLIANZGI CONV & INCOME FD 1,900 20 0.01%
545 TELEFONICA S A 1,152 20 0.01%
546 FIRST TR EXCH TRD ALPHDX FD 800 20 0.01%
547 ISHARES GOLD TRUST 1,580 20 0.01%
548 TRAVELERS COMPANIES INC 214 20 0.01%
549 ADAMS DIVERSIFIED EQUITY FD 1,426 20 0.01%
550 M & T BK CORP 164 20 0.01%
Page 11 of 19