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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
801 STEEL DYNAMICS INC 33,307 597,861 0.21%
802 ISHARES MSCI EAFE SMALL CAP IDX FD 11,470 606,992 0.22%
803 UNITED STATES OIL FUND LP 15,727 611,466 0.22%
804 EMERSON ELEC CO 9,300 617,148 0.22%
805 MAIN STREET CAPITAL CORP 18,824 619,874 0.22%
806 VANGUARD INDEX FDS 6,126 623,443 0.22%
807 ISHARES TR 12,405 624,096 0.22%
808 IPATH BLOOMBERG COMMODITY INDEX TOTAL RETURN ETN 15,978 630,172 0.22%
809 NUCOR CORP 13,205 650,346 0.23%
810 FIRST TR MORNINGSTAR DIV LEA 27,446 652,666 0.23%
811 SPDR GOLD TR 5,146 658,894 0.23%
812 UNITED PARCEL SERVICE INC 6,424 659,488 0.23%
813 EXXON MOBIL CORP 6,739 678,483 0.24%
814 POWERSHARES ETF TR II 23,726 691,850 0.25%
815 FIRST TR EXCHANGE TRADED FD 25,750 696,023 0.25%
816 QUALCOMM INC 8,903 705,118 0.25%
817 FIRST TR EXCHANGE TRADED FD 21,797 708,838 0.25%
818 VANGUARD MORTG-BACK SEC ETF 13,582 714,685 0.25%
819 Kinder Morgan Inc. 8,730 717,693 0.26%
820 POWERSHARES QQQ TRUST 8,247 774,476 0.28%
821 TARGET CORP 13,736 796,001 0.28%
822 ISHARES TR 10,620 800,632 0.29%
823 FREEPORT-MCMORAN INC 21,962 801,613 0.29%
824 CLOROX CO DEL 8,927 815,928 0.29%
825 ISHARES TR 8,468 820,380 0.29%
826 KIMBERLY CLARK CORP 7,679 854,058 0.30%
827 FIRST TR EXCHANGE TRADED FD 16,467 877,197 0.31%
828 PNC FINL SVCS GROUP INC 9,980 888,719 0.32%
829 PROCTER AND GAMBLE CO 11,445 899,463 0.32%
830 MICROSOFT CORP 21,611 901,179 0.32%
831 AMERICAN RLTY CAP PPTYS INC 74,071 928,110 0.33%
832 ISHARES TR 7,420 951,318 0.34%
833 VERIZON COMMUNICATIONS INC 19,473 952,814 0.34%
834 FIRST TR EXCHANGE TRADED FD 33,032 963,543 0.34%
835 ISHARES TR 8,935 1,001,524 0.36%
836 PHILLIPS 66 12,932 1,040,121 0.37%
837 Magnum Hunter Resources Corp 127,196 1,043,007 0.37%
838 ISHARES TR 14,566 1,121,291 0.40%
839 CLAYMORE EXCHANGE TRD FD TR 46,341 1,211,354 0.43%
840 GS FIN CORP 64,166 1,230,069 0.44%
841 POWERSHARES ETF TRUST 68,520 1,247,064 0.44%
842 FORD MTR CO DEL 76,269 1,314,878 0.47%
843 ISHARES TR 26,129 1,327,353 0.47%
844 VANGUARD INDEX FDS 11,526 1,349,925 0.48%
845 FIRST TRUST EXCH TRADED FUND 2 ENERGY ALPHADX ETF 47,502 1,391,657 0.50%
846 ISHARES TR 11,953 1,425,515 0.51%
847 SELECT SECTOR SPDR TR 28,935 1,436,333 0.51%
848 FIRST TR EXCHANGE TRADED FD 24,990 1,488,904 0.53%
849 VANGUARD INDEX FDS 13,023 1,545,439 0.55%
850 POWERSHARES DB CMDTY IDX TRA 59,498 1,581,457 0.56%
Page 17 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