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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 20 YR TR BD ETF 70,476 8,000,436 2.85%
2 SPDR SERIES TRUST BLOOMBERG BRCLYS 157,129 6,556,993 2.34%
3 ISHARES TR CORE US AGGBD ET 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 INC 51,600 3,421,854 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227,027 1.15%
10 ISHARES TR U.S. PFD STK ETF 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 BLOOMBERG SRT TR 97,269 3,011,448 1.07%
14 iShares TIPS Bond Fund 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 MBS ETF 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 S&P DEP Receipts 13,060 2,556,103 0.91%
23 DICKS SPORTING GOODS INC COM 53,308 2,482,020 0.88%
24 Abbott Laboratories 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 WELLS FARGO PREFERRED STOCK ETF 54,756 2,390,099 0.85%
31 VANGUARD MALVERN FDS STRM INFPROIDX 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 Machines Cor 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 Companies Inc 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 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
751 STERICYCLE INC 2,200 260,524 0.09%
752 STMICROELECTRONICS N V NY REGISTRY 131 1,165 0.00%
753 STONERIDGE INC 200 2,144 0.00%
754 STRATASYS LTD SHS 2,400 272,712 0.10%
755 STRYKER CORP 60 5,059 0.00%
756 STURM RUGER & CO INC 261 15,402 0.01%
757 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 205 1,736 0.00%
758 SUN LIFE FINL INC COM 334 12,261 0.00%
759 SUNPOWER CORP COM 100 4,098 0.00%
760 SUNTRUST BKS INC 29 1,162 0.00%
761 SWEDISH EXPT CR CORP ROG AGRI ETN22 208 1,712 0.00%
762 SYNAPTICS INC COM 811 73,509 0.03%
763 SYNTEL INC 115 9,885 0.00%
764 SYSCO CORP 70,199 2,628,953 0.94%
765 Safeway Inc - Safeway PDC LLC CVR 114 3,915 0.00%
766 Schlumberger Ltd 214 25,241 0.01%
767 Schwab International Equity ET 1,143 37,696 0.01%
768 Silver Standard Resources Inc 300 2,598 0.00%
769 Snap On Tools 484 20,560 0.01%
770 Southern Copper Corporation Com US$0.01 695 21,107 0.01%
771 Spectra Energy Partners, LP 5,513 294,119 0.10%
772 Star Bulk Carriers Corp. 116 1,505 0.00%
773 Starbucks Corp 1,230 95,177 0.03%
774 Steel Dynamics Inc Com US$0.01 33,307 597,861 0.21%
775 Strayer Education Inc. 35 1,838 0.00%
776 TABLEAU SOFTWARE INC CL A 100 7,133 0.00%
777 TAL Education Group 607 16,693 0.01%
778 TARGET CORP 13,736 796,001 0.28%
779 TASR 200 2,660 0.00%
780 TE CONNECTIVITY LTD 67 4,143 0.00%
781 TEAM HEALTH HOLDINGS INC 628 31,362 0.01%
782 TECK RESOURCES LTD 3,668 83,740 0.03%
783 TECO ENERGY INC 913 16,872 0.01%
784 TEEKAY OFFSHORE PARTNERS L P 68 2,455 0.00%
785 TEGNA, Inc (Old Gannett)(.90) 208 6,512 0.00%
786 TELEFONICA BRASIL SA 27 554 0.00%
787 TELEFONICA S A SPONSORED ADR 1,152 19,768 0.01%
788 TEMPLETON EMERG MKTS INCOME 585 8,067 0.00%
789 TERADATA CORP DEL 12 482 0.00%
790 TESLA INC 112 26,887 0.01%
791 TESORO CORP COM 200 11,734 0.00%
792 TEXAS INSTRS INC 115 5,496 0.00%
793 THORATEC LABS CORP 160 5,578 0.00%
794 TIME WARNER INC NEW 221 32,553 0.01%
795 TJX COS INC NEW 219 11,640 0.00%
796 TORO CO 460 29,256 0.01%
797 TORONTO DOMINION BK ONT 293 15,063 0.01%
798 TOTAL S A 2,900 209,380 0.07%
799 TOTAL SYS SVCS INC 90 2,827 0.00%
800 TRANSATLANTIC PETROLEUM LTD 3,487 39,717 0.01%
Page 16 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 20 YR TR BD ETF 70,476 8,000 2.85%
2 SPDR SERIES TRUST BLOOMBERG BRCLYS 157,129 6,557 2.34%
3 ISHARES TR CORE US AGGBD ET 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 INC 51,600 3,422 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227 1.15%
10 ISHARES TR U.S. PFD STK ETF 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 BLOOMBERG SRT TR 97,269 3,011 1.07%
14 iShares TIPS Bond Fund 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 MBS ETF 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 S&P DEP Receipts 13,060 2,556 0.91%
23 DICKS SPORTING GOODS INC COM 53,308 2,482 0.88%
24 Abbott Laboratories 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 WELLS FARGO PREFERRED STOCK ETF 54,756 2,390 0.85%
31 VANGUARD MALVERN FDS STRM INFPROIDX 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 Machines Cor 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 Alphabet 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 Companies Inc 47,176 2,264 0.81%
41 Vanguard Short Term Bond 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