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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 COM 110,529 3,908,305 1.39%
8 VANGUARD WHITEHALL FDS INC 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 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 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 COM 53,308 2,482,020 0.88%
24 ABBOTT LABS 60,222 2,463,080 0.88%
25 ISHARES RUSSELL 1000 GROWTH ET 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 COM 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 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 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 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
651 PROSHARES LARGE CAP CORE PLUS ETF 816 77,528 0.03%
652 PROSHARES SHORT S&P500 1,555 36,325 0.01%
653 PROSHARES TR 350 40,523 0.01%
654 PROSHARES TR 1,265 58,317 0.02%
655 PROSHARES TR 35 4,435 0.00%
656 PROSHARES TR 500 35,980 0.01%
657 PROSPECT CAPITAL CORPORATION 6,888 73,185 0.03%
658 PRUDENTIAL FINL INC 100 8,877 0.00%
659 PUB SVC ENTERPISE GP 1,050 42,830 0.02%
660 PWRSHS ETF FIN PFD PORT 68,520 1,247,064 0.44%
661 Peabody Energy Corp 2,273 37,164 0.01%
662 PowerShares Fundamental Pure Md Core ETF 335 12,769 0.00%
663 Powershs Pharmaceuti 1,657 101,210 0.04%
664 Priceline Group Inc/The 98 117,894 0.04%
665 ProShares Short VIX Short-Term Futures 75 6,620 0.00%
666 Proto Labs Inc 252 20,644 0.01%
667 QIWI PLC 81 3,267 0.00%
668 QUALCOMM INC COM 8,903 705,118 0.25%
669 QUESTAR CORP COM 160 3,968 0.00%
670 Quality Sys Inc 400 6,420 0.00%
671 Quanex Building Products 1,710 30,558 0.01%
672 Questcor 650 60,119 0.02%
673 R H 100 9,305 0.00%
674 RANDGOLD RES LTD ADR 350 29,610 0.01%
675 RAYMOND JAMES FINANCIAL INC COM 435 22,068 0.01%
676 RAYTHEON CO 308 28,413 0.01%
677 REALTY INCOME CORP 12,897 572,885 0.20%
678 RED HAT INC 320 17,686 0.01%
679 REGENCY ENERGY PARTNERS 70 2,255 0.00%
680 RESMED INC COM 1,800 91,134 0.03%
681 RETAIL PPTYS AMER INC 16,949 260,676 0.09%
682 REVOLUTION LIGHTING TECHNOLO COM NEW 500 1,150 0.00%
683 REYNOLDS AMERICAN INC 132 7,966 0.00%
684 RICHARDSON ELECTRS 200 2,094 0.00%
685 ROBERT HALF INTL INC COM 135 6,445 0.00%
686 ROCKWOOD HOLDINGS INC 1,000 75,990 0.03%
687 ROSS STORES INC 139 9,192 0.00%
688 ROYAL DUTCH SHELL PLC 2,470 214,915 0.08%
689 ROYAL DUTCH SHELL PLC 1,441 118,695 0.04%
690 ROYAL GOLD INC COM 340 25,884 0.01%
691 RPC INC COM 649 15,245 0.01%
692 RPM INTL INC COM 3,145 145,236 0.05%
693 RPX CORP 371 6,585 0.00%
694 RSX - Market Vectors Russia ETF 2,013 53,002 0.02%
695 RYDEX ETF TRUST 252 19,331 0.01%
696 Rackspace Hosting 1,050 35,343 0.01%
697 S. Jersey Inds Inc 150 9,062 0.00%
698 SAIA INC 710 31,190 0.01%
699 SALESFORCE COM INC 190 11,035 0.00%
700 SALIX PHARMACEUTICALS INC 1,374 169,483 0.06%
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 COM 110,529 3,908 1.39%
8 VANGUARD WHITEHALL FDS INC 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 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 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 INC COM 53,308 2,482 0.88%
24 ABBOTT LABS 60,222 2,463 0.88%
25 ISHARES RUSSELL 1000 GROWTH ET 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 COM 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 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 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 COM 78,940 2,075 0.74%
Page 1 of 19