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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 20 PLS YEAR 70,476 8,000,436 2.85%
2 SPDR SERIES TRUST 157,129 6,556,993 2.34%
3 ISHARES CORE US 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 HIGH DIVIDEND YIELD ETF 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 BLMBRG BRCLY SHT 97,269 3,011,448 1.07%
14 ISHARES TIPS BOND ETF 24,082 2,778,100 0.99%
15 VANGUARD TAX MANAGED INTL FD 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 I SHARES MBS ETF 24,282 2,627,798 0.94%
20 DUKE ENERGY HOLDINGS CORP COM 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 INC COM 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 HOLDING CO 34,195 2,370,739 0.84%
34 INTERNATIONAL BUSINESS MACHS 12,837 2,326,963 0.83%
35 WESTERN UNION 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 39,721 2,293,491 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278,314 0.81%
40 LOWE'S 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 6,764 2,196,812 0.78%
45 NATIONAL OILWELL VARCO INC 26,514 2,183,428 0.78%
46 BLACKROCK INC COM 6,831 2,183,188 0.78%
47 CME GROUP INC 30,408 2,157,448 0.77%
48 PHILIP MORRIS INTERNATIONAL 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 (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
501 LULULEMON ATHLETICA INC 132 5,343 0.00%
502 LYONDELLBASELL INDUSTRIES N 394 38,474 0.01%
503 Las Vegas Sands Corp 500 38,110 0.01%
504 M & T BK CORP 164 20,344 0.01%
505 MACQUARIE FIRST GLBL INF 1,000 17,950 0.01%
506 MACQUARIE INFRASTRUCTURE COR 262 16,341 0.01%
507 MAGELLAN MIDSTREAM PRTNRS LP 1,868 156,987 0.06%
508 MAIN STREET CAPITAL CORP 18,824 619,874 0.22%
509 MALLINCKRODT PUB LTD CO 5 400 0.00%
510 MANULIFE FINL CORP 494 9,816 0.00%
511 MARATHON OIL 203 8,104 0.00%
512 MARATHON PETE CORP 35 2,732 0.00%
513 MASTERCARD INCORPORATED 1,525 112,042 0.04%
514 MATERIALS SELECT SECTOR SPDR 28,935 1,436,333 0.51%
515 MATTEL INC DE 1,450 56,507 0.02%
516 MBT Financial Corp 2,308 12,625 0.00%
517 MCCORMICK & CO INC 435 31,142 0.01%
518 MCDONALDS CORP 16,959 1,708,450 0.61%
519 MEDIFAST INC COM 500 15,205 0.01%
520 MEDTRONIC PLC 3,386 215,891 0.08%
521 MENS WEARHOUSE INC 235 13,113 0.00%
522 MERCADOLIBRE INC 622 59,339 0.02%
523 MERCK & CO INC 2,316 133,981 0.05%
524 MFA FINL INC 2,945 24,178 0.01%
525 MGE ENERGY INC 1,482 58,554 0.02%
526 MGM RESORTS INTERNATIONAL 2,700 71,280 0.03%
527 MICRON TECHNOLOGY INC 200 6,590 0.00%
528 MICROSOFT CORP 21,611 901,179 0.32%
529 MOBILE TELESYSTEMS PJSC 400 7,896 0.00%
530 MOMENTA PHARMACEUTICALS INC 170,006 2,053,672 0.73%
531 MONDELEZ INTL INC 514 19,332 0.01%
532 MORGAN STANLEY 3,618 116,970 0.04%
533 MOTOROLA SOLUTIONS INC 42 2,796 0.00%
534 Magnum Hunter Resources Corp 127,196 1,043,007 0.37%
535 Market Vctrs Rare Erth 143 5,064 0.00%
536 Market Vectors Agribusiness ET 1,772 97,478 0.03%
537 Market Vectors Etf TRU 1,158 30,629 0.01%
538 Market Vectors Oil Services 789 45,573 0.02%
539 Minas Buenaventura 140 1,653 0.00%
540 NAM TAI PROPERTY INC 190 1,433 0.00%
541 NATIONAL FUEL GAS CO N J 3,167 247,976 0.09%
542 NATIONAL HEALTH INVS INC COM 180 11,261 0.00%
543 NATIONAL OILWELL VARCO INC 26,514 2,183,428 0.78%
544 NATUS MEDICAL INC 265 6,662 0.00%
545 NAVIENT CORP 166 2,940 0.00%
546 NCR 181 6,351 0.00%
547 NETFLIX INC 25 11,015 0.00%
548 NETGEAR INC 200 6,954 0.00%
549 NEVSUN RES LTD 1,000 3,750 0.00%
550 NEWMARKET CORP 264 103,517 0.04%
Page 11 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES 20 PLS YEAR 70,476 8,000 2.85%
2 SPDR SERIES TRUST 157,129 6,557 2.34%
3 ISHARES CORE US 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 HIGH DIVIDEND YIELD ETF 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 BLMBRG BRCLY SHT 97,269 3,011 1.07%
14 ISHARES TIPS BOND ETF 24,082 2,778 0.99%
15 VANGUARD TAX MANAGED INTL FD 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 I SHARES MBS ETF 24,282 2,628 0.94%
20 DUKE ENERGY HOLDINGS CORP COM 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 INC COM 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 HOLDING CO 34,195 2,371 0.84%
34 INTERNATIONAL BUSINESS MACHS 12,837 2,327 0.83%
35 WESTERN UNION 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 39,721 2,293 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278 0.81%
40 LOWE'S 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 6,764 2,197 0.78%
45 NATIONAL OILWELL VARCO INC 26,514 2,183 0.78%
46 BLACKROCK INC COM 6,831 2,183 0.78%
47 CME GROUP INC 30,408 2,157 0.77%
48 PHILIP MORRIS INTERNATIONAL 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