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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
51 AMERICAN INTL GROUP INC 68 1,809 0.00%
52 AMERICAN RAILCAR INDS INC 200 13,554 0.00%
53 AMERICAN RLTY CAP PPTYS INC 74,071 928,110 0.33%
54 AMERICAN WTR WKS CO INC NEW 129 6,379 0.00%
55 AMETEK INC NEW 1,350 70,578 0.03%
56 AMGEN INC 300 35,511 0.01%
57 ANADARKO PETE CORP 127 13,903 0.00%
58 ANDERSONS INC COM 300 15,474 0.01%
59 ANHEUSER BUSCH INBEV SA/NV 200 22,988 0.01%
60 ANIKA THERAPEUTICS INC 671 31,087 0.01%
61 ANNALY CAP MGMT INC 20,189 230,760 0.08%
62 ANSYS 500 37,910 0.01%
63 APACHE CORP 36 3,622 0.00%
64 APOLLO GLOBAL MGMT LLC 86,383 2,394,537 0.85%
65 APPLE INC 17,431 1,619,863 0.58%
66 APPLIED MATLS INC 50 1,128 0.00%
67 AQUA AMERICA INC 406 10,645 0.00%
68 ARCELORMITTAL SA LUXEMBOURG 4,070 60,765 0.02%
69 ARCHER DANIELS MIDLAND CO 2,600 114,686 0.04%
70 ARIAD PHARMACEUTICALS ORD (NMS) 5,000 31,850 0.01%
71 ARM HOLDINGS PLC ADR 350 15,834 0.01%
72 ASSOCIATED ESTATES 900 16,218 0.01%
73 ASTRAZENECA PLC 85 6,316 0.00%
74 AT&T INC 110,529 3,908,305 1.39%
75 ATLANTIC PWR CORP 3,290 14,344 0.01%
76 ATLAS RESOURCES PARTNERS LP 176 3,569 0.00%
77 AUTODESK INC 50 2,819 0.00%
78 AUTOMATIC DATA PROCESSING IN 5,200 412,256 0.15%
79 AUTOZONE INC 77 41,290 0.01%
80 AVANIR PHARMACEUTICALS INC CL 1,400 7,896 0.00%
81 Acxiom Corp 290 6,290 0.00%
82 Adt Corp 20 699 0.00%
83 Alcatel Lucent Adr 164 584 0.00%
84 Alcoa 1,059 15,769 0.01%
85 Arris Group Inc 750 24,398 0.01%
86 BAIDU INC 334 62,395 0.02%
87 BAKER HUGHES INC 4,103 305,468 0.11%
88 BANCO SANTANDER SA 2,984 31,093 0.01%
89 BANK AMER CORP 28,361 435,909 0.16%
90 BANK NEW YORK MELLON CORP 2,500 93,700 0.03%
91 BARCLAYS BANK 500 12,785 0.00%
92 BARCLAYS BK PLC 314 46,883 0.02%
93 BARRICK GOLD CORP 5,259 96,240 0.03%
94 BAXTER INTL INC 33,261 2,404,770 0.86%
95 BCE INC 895 40,597 0.01%
96 BED BATH & BEYOND INC 200 11,476 0.00%
97 BERKSHIRE HATHAWAY INC DEL 25,498 3,227,027 1.15%
98 BEYOND INC 600 9,462 0.00%
99 BHP BILLITON LTD 695 47,573 0.02%
100 BIOGEN INC 230 72,521 0.03%
Page 2 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