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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
701 SALIX PHARMACEUTICALS INC 1,374 169,483 0.06%
702 SANOFI 1,090 57,955 0.02%
703 SCHLUMBERGER LTD 214 25,241 0.01%
704 SCHWAB CHARLES CORP 531 14,300 0.01%
705 SCHWAB INTERNATIONAL EQUITY ETF 1,143 37,696 0.01%
706 SEAGATE TECHNOLOGY PLC 500 28,410 0.01%
707 SEI INVESTMENTS CO 567 18,581 0.01%
708 SELECT SECTOR SPDR TR 3,325 147,165 0.05%
709 SELECT SECTOR SPDR TR 84,117 1,912,821 0.68%
710 SELECT SECTOR SPDR TR 2,798 280,080 0.10%
711 SELECT SECTOR SPDR TR 918 61,267 0.02%
712 SELECT SECTOR SPDR TR 28,935 1,436,333 0.51%
713 SELECT SECTOR SPDR TR 8,885 540,475 0.19%
714 SELECT SECTOR SPDR TR 76 4,109 0.00%
715 SELECT SECTOR SPDR TR 12,637 484,629 0.17%
716 SELECT SECTOR SPDR TR 1,867 83,306 0.03%
717 SHIP FINANCE INTERNATIONAL L 120 2,231 0.00%
718 SILVER STD RES INC 300 2,598 0.00%
719 SILVER WHEATON CORP 1,204 31,629 0.01%
720 SIMON PPTY GROUP INC NEW 15 2,494 0.00%
721 SINCLAIR BROADCAST GROUP INC 413 14,352 0.01%
722 SIRIUS XM HOLDINGS INC 28,000 96,880 0.03%
723 SK TELECOM LTD 666 17,276 0.01%
724 SMUCKER J M CO 175 18,650 0.01%
725 SNAP ON INC 274 32,474 0.01%
726 SOCIEDAD QUIMICA Y MINERA DE 79 2,315 0.00%
727 SOLARCITY CORP 300 21,180 0.01%
728 SOUTH JERSEY INDS INC COM 150 9,062 0.00%
729 SOUTHERN CO 12,428 563,983 0.20%
730 SOUTHERN COPPER CORP 695 21,107 0.01%
731 SOUTHWEST AIRLS CO 3,137 84,260 0.03%
732 SPDR DOW JONES INDL AVRG ETF 752 126,253 0.04%
733 SPDR DOW JONES REIT ETF 568 47,144 0.02%
734 SPDR GOLD TR 5,146 658,894 0.23%
735 SPDR INDEX SHS FDS 114 8,577 0.00%
736 SPDR INDEX SHS FDS 1,168 51,672 0.02%
737 SPDR INDEX SHS FDSDJ GLB RL ES ETF 1,460 68,109 0.02%
738 SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF 1,100 162,635 0.06%
739 SPDR S&P 500 ETF TR 13,060 2,556,103 0.91%
740 SPDR S&P MIDCAP 400 ETF TR 1,407 366,608 0.13%
741 SPDR SER TR 97,269 3,011,448 1.07%
742 SPDR SER TR 6,513 498,831 0.18%
743 SPDR SER TR 60 3,030 0.00%
744 SPDR SERIES TRUST 720 74,736 0.03%
745 SPDR SERIES TRUST 157,129 6,556,993 2.34%
746 SPDR SERIES TRUST 2,652 161,268 0.06%
747 SPDR SERIES TRUST 54,756 2,390,099 0.85%
748 SPDR SERIES TRUST 101 8,310 0.00%
749 SPECTRA ENERGY PARTNERS LP 5,513 294,119 0.10%
750 SPECTRUM PHARMACEUTICALS INC COM 400 3,252 0.00%
Page 15 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 110,529 3,908 1.39%
8 VANGUARD WHITEHALL FDS 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 FDS 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 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 HLDG CO 34,195 2,371 0.84%
34 INTERNATIONAL BUSINESS MACHS 12,837 2,327 0.83%
35 WESTERN UN 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 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 FDS 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 78,940 2,075 0.74%
Page 1 of 19