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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 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 INC 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 (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
501 ROYAL GOLD INC 340 25,884 0.01%
502 AK STL HLDG CORP 3,245 25,830 0.01%
503 ISHARES INC 520 25,308 0.01%
504 SCHLUMBERGER LTD 214 25,241 0.01%
505 VALEANT PHARMACEUTICALS INTL 200 25,224 0.01%
506 POWERSHARES ETF TR II 810 25,219 0.01%
507 PENNEY J C 2,767 25,041 0.01%
508 GABELLI UTIL TR 3,400 24,949 0.01%
509 CHESAPEAKE ENERGY CORP 800 24,864 0.01%
510 EXTREME NETWORKS INC 5,540 24,598 0.01%
511 Arris Group Inc 750 24,398 0.01%
512 FIRST TR SR FLG RTE INCM FD 1,700 24,293 0.01%
513 MFA FINANCIAL INC COM 2,945 24,178 0.01%
514 COVIDIEN PLC 266 23,988 0.01%
515 FIRST TR EXCHANGE TRADED FD 450 23,702 0.01%
516 NORTHEASTUTILITI 500 23,635 0.01%
517 CREDIT SUISSE NASSAU 525 23,615 0.01%
518 INTERCONTINENTAL HTLS GRP PL 566 23,495 0.01%
519 NIKE INC 300 23,265 0.01%
520 VANGUARD INDEX FDS 219 23,105 0.01%
521 PAN AMERN SILVER CORP 1,500 23,025 0.01%
522 ANHEUSER BUSCH INBEV SA/NV 200 22,988 0.01%
523 NOKIA CORP 3,000 22,680 0.01%
524 GLAXOSMITHKLINE PLC 422 22,569 0.01%
525 IPG PHOTONICS CORP 328 22,566 0.01%
526 VANGUARD WORLD FD 200 22,326 0.01%
527 ONEOK INC NEW 326 22,194 0.01%
528 RAYMOND JAMES FINANC 435 22,068 0.01%
529 NUVEEN PERFORMANCE PLUS MUNICIPAL FUND INC 1,500 21,990 0.01%
530 CITIGROUPINC 466 21,949 0.01%
531 PEMBINA PIPELINE CORP 510 21,930 0.01%
532 Williams Partners Lp 400 21,716 0.01%
533 BP PRUDHOE BAY RTY TR 219 21,668 0.01%
534 AKAMAI TECHNOLOGIES INC 350 21,371 0.01%
535 GREEN PLAINS INC COM 645 21,201 0.01%
536 SOLARCITY CORP 300 21,180 0.01%
537 SOUTHERN COPPER CORP 695 21,107 0.01%
538 VALERO ENERGY CORP NEW 416 20,842 0.01%
539 OCCIDENTAL PETE CORP DEL 203 20,834 0.01%
540 PROTO LABS INC COM 252 20,644 0.01%
541 BLACKROCK MUN INCOME TR 1,500 20,580 0.01%
542 Spectra Energy Corp Com 484 20,560 0.01%
543 HARLEY DAVIDSON INC 292 20,396 0.01%
544 ISHARES GOLD TRUST 1,580 20,350 0.01%
545 M & T BK CORP 164 20,344 0.01%
546 BREITBURN ENERGY PARTNERS LP COM 915 20,240 0.01%
547 FIRST TR EXCH TRD ALPHDX FD 800 20,144 0.01%
548 TRAVELERS COMPANIES INC 214 20,131 0.01%
549 ALLIANZGI CONV & INCOME FD 1,900 20,121 0.01%
550 CROSS TIMBERS RTY TR 600 19,860 0.01%
Page 11 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 OI S.A. SPN ADR 312 0 0.00%
2 PEREGRINE PHARMACEUTICALS IN 100 0 0.00%
3 FOREST OIL CORP 200 0 0.00%
4 DEUTSCHE BK AG RT 872 0 0.00%
5 GAIAM INC 51 0 0.00%
6 Quantum Fuel Systems Tech Worl 4 0 0.00%
7 STATOIL ASA 10 0 0.00%
8 RARE ELEMENT RES LTD 100 0 0.00%
9 ELECTRONIC ARTS INC 2 0 0.00%
10 Corinthian Colleges, Inc. 260 0 0.00%
11 SONY GROUP CORP 10 0 0.00%
12 JA SOLAR HOLDINGS COMPANY LIMITED SPON ADR REP5ORD 40 0 0.00%
13 ENDOCYTE INC 60 0 0.00%
14 DIREXION SHS ETF TR 5 0 0.00%
15 MALLINCKRODT PUB LTD CO 5 0 0.00%
16 PROTHENA CORP PLC 3 0 0.00%
17 COGNIZANT TECHNOLOGY SOLUTIO 10 0 0.00%
18 KODIAK OIL & GAS CORP 25 0 0.00%
19 KRISPY KREME DOUGHNT 25 0 0.00%
20 ALPS ETF TR 5 0 0.00%
21 LEVEL 3 COMM 4 0 0.00%
22 Washington Prime Group 7 0 0.00%
23 LULULEMON ATHLETICA INC 1,727 0 0.00%
24 TWENTY FIRST CENTY FOX INC 6 0 0.00%
25 Neo Performance Materials 100 0 0.00%
26 Blackhawk Network 18 0 0.00%
27 TIME INC NEW 2 0 0.00%
28 TIM PARTICIPACOES S A 5 0 0.00%
29 NEWS CORP CL A 1 0 0.00%
30 TERADATA CORP DEL 12 0 0.00%
31 INGERSOLL-RAND PLC 20 1 0.00%
32 Alcatel Lucent Adr 164 1 0.00%
33 TELEFONICA BRASIL SA 27 1 0.00%
34 PANERA BREAD CO 10 1 0.00%
35 SUNTRUST BKS INC 29 1 0.00%
36 NAM TAI PPTY INC SHS 190 1 0.00%
37 PENTAIR PLC 8 1 0.00%
38 LIME ENERGY CO COM 357 1 0.00%
39 POWERSHARES ETF TRUST II 75 1 0.00%
40 KENNAMETAL INC 20 1 0.00%
41 Adt Corp 20 1 0.00%
42 STMICROELECTRONICS N V 131 1 0.00%
43 Cimpress NV 30 1 0.00%
44 FIRST MAJESTIC SILVER CORP 110 1 0.00%
45 PERRIGO CO PLC 10 1 0.00%
46 REVOLUTION LIGHTING TECHNOLO COM 500 1 0.00%
47 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 448 1 0.00%
48 LUBYS INC COM 130 1 0.00%
49 APPLIED MATLS INC 50 1 0.00%
50 * SANDRIDGE ENERGY INC COM 100 1 0.00%
Page 1 of 19