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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 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 REIT INDEX #0986 74,535 5,578,199 1.99%
5 iShares MSCI Emerging Markets 128,423 5,551,726 1.98%
6 iShares Core S&P 500 25,907 5,103,679 1.82%
7 A T & T INC 110,529 3,908,305 1.39%
8 Vanguard High Dividend Yield E 51,600 3,421,854 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227,027 1.15%
10 iShares US PFD ETF US PFD STK 78,623 3,137,844 1.12%
11 COCA COLA CO COM 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 I SHRS TIPS BOND ETF 24,082 2,778,100 0.99%
15 Vanguard FTSE Developed Market 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 ETF 31,956 2,586,838 0.92%
22 SPDR S&P 500 Index ETF 13,060 2,556,103 0.91%
23 DICKS SPORTING GOODS INC 53,308 2,482,020 0.88%
24 ABBOTT LABS COM 60,222 2,463,080 0.88%
25 iShares Russell 1000 Growth In 27,059 2,460,475 0.88%
26 WAL-MART STORES INC COM 32,711 2,455,615 0.87%
27 BAXTER INTL INC COM 33,261 2,404,770 0.86%
28 Apollo Global Management 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 MACHSCOM 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 Alphabet 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 COM 47,176 2,263,976 0.81%
41 Vanguard Short Term Bond 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 ORD 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 PHILLIP MORRIS INTERNATIONALINC 25,280 2,131,357 0.76%
49 I SHARES MSCI EAFE ETF 31,023 2,121,043 0.76%
50 GENERAL ELECTRIC CO COM 78,940 2,074,543 0.74%
Page 1 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 REIT INDEX #0986 74,535 5,578,199 1.99%
5 iShares MSCI Emerging Markets 128,423 5,551,726 1.98%
6 iShares Core S&P 500 25,907 5,103,679 1.82%
7 A T & T INC 110,529 3,908,305 1.39%
8 Vanguard High Dividend Yield E 51,600 3,421,854 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227,027 1.15%
10 iShares US PFD ETF US PFD STK 78,623 3,137,844 1.12%
11 COCA COLA CO COM 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 I SHRS TIPS BOND ETF 24,082 2,778,100 0.99%
15 Vanguard FTSE Developed Market 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 ETF 31,956 2,586,838 0.92%
22 SPDR S&P 500 Index ETF 13,060 2,556,103 0.91%
23 DICKS SPORTING GOODS INC 53,308 2,482,020 0.88%
24 ABBOTT LABS COM 60,222 2,463,080 0.88%
25 iShares Russell 1000 Growth In 27,059 2,460,475 0.88%
26 WAL-MART STORES INC COM 32,711 2,455,615 0.87%
27 BAXTER INTL INC COM 33,261 2,404,770 0.86%
28 Apollo Global Management 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 MACHSCOM 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 Alphabet 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 COM 47,176 2,263,976 0.81%
41 Vanguard Short Term Bond 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 ORD 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 PHILLIP MORRIS INTERNATIONALINC 25,280 2,131,357 0.76%
49 I SHARES MSCI EAFE ETF 31,023 2,121,043 0.76%
50 GENERAL ELECTRIC CO COM 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
351 HUNTSMAN CORP 2,119 60 0.02%
352 Questcor 650 60 0.02%
353 ISHS ASIA PAC DIV ETF 1,025 60 0.02%
354 MERCADOLIBRE INC 622 59 0.02%
355 CRESTWOOD EQUITY PTN 4,000 59 0.02%
356 MGE ENERGY INC 1,482 59 0.02%
357 ISHARES TR 566 59 0.02%
358 NOVO-NORDISK A S 1,279 59 0.02%
359 WESTPORT FUEL SYSTEMS INC 3,300 59 0.02%
360 ENERGY TRANSFER EQUITY LP 980 58 0.02%
361 Sanofi Aventis (ADR) 1,090 58 0.02%
362 PROSHARES TR 1,265 58 0.02%
363 ACUITY BRANDS INC COM 420 58 0.02%
364 Visa, Inc. Cl A 275 58 0.02%
365 MATTEL INC 1,450 57 0.02%
366 JOHNSON CONTROLS INC 1,139 57 0.02%
367 HOLLYFRONTIER CORP 1,316 57 0.02%
368 PPL CORP COMMON 1,566 56 0.02%
369 Alphabet Inc. 95 56 0.02%
370 NORTH EUROPEAN OIL RTY TR 2,300 55 0.02%
371 NVIDIA CORP 2,937 54 0.02%
372 CORE LABORATORIES N V 321 54 0.02%
373 Costco Wholesale Corp New 466 54 0.02%
374 HATTERAS FINL CORP 2,733 54 0.02%
375 CAMECO CORP 2,759 54 0.02%
376 ENBRIDGE INC 1,126 53 0.02%
377 ISHARES TR 602 53 0.02%
378 RSX - Market Vectors Russia ETF 2,013 53 0.02%
379 Novartis AG (ADR) 582 53 0.02%
380 SPDR INDEX SHS FDS 1,168 52 0.02%
381 ISHARES TR 1,075 52 0.02%
382 WATERS CORP 500 52 0.02%
383 GENERAL MTRS CO 1,428 52 0.02%
384 ABB LTD 2,226 51 0.02%
385 ACCENTURE PLC IRELAND 637 51 0.02%
386 CORELOGIC INC 1,673 51 0.02%
387 ISHARES 2,437 51 0.02%
388 YUM BRANDS INC 634 51 0.02%
389 CHINA MOBILE LIMITED 1,045 51 0.02%
390 BLACKROCK SBI 3,625 51 0.02%
391 CSX Corp 1,670 51 0.02%
392 Vanguard Mega Cap 300 Index ET 727 49 0.02%
393 SPDR Barclays Capital ST Muni 2,021 49 0.02%
394 THE HERSHEY COMPANY COM 500 49 0.02%
395 WESTLAKE CHEMICAL CORP 587 49 0.02%
396 BHP BILLITON LTD 695 48 0.02%
397 CALUMET SPECIALTY PRODS PTNR 1,500 48 0.02%
398 BARCLAYS BK PLC 314 47 0.02%
399 Columbia Emerging Mkts Consume 1,710 47 0.02%
400 EATON VANCE LTD DUR INCOME F 3,020 47 0.02%
Page 8 of 19