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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
401 EATON VANCE LTD DURATION INC 3,020 47,052 0.02%
402 BARCLAYS BK PLC 314 46,883 0.02%
403 FIRST TR HIGH INCOME L/S FD 2,511 45,575 0.02%
404 Market Vectors Oil Services 789 45,573 0.02%
405 BROOKFIELD ASSET MGMT INC 1,011 44,504 0.02%
406 Nielsen Holdings B.V. 911 44,102 0.02%
407 VANGUARD WORLD FDS 394 44,033 0.02%
408 El Paso Partners Pipeline 1,195 43,295 0.02%
409 PUBLIC SVC ENTERPRISE GRP IN 1,050 42,830 0.02%
410 OLD DOMINION FREIGHT LINE IN 661 42,092 0.01%
411 BLACKROCK CORPOR HI YLD FD I 3,363 41,331 0.01%
412 AUTOZONE INC 77 41,290 0.01%
413 WESTAR ENERGY 1,068 40,787 0.01%
414 PERMIAN BASIN RTY TR 2,850 40,613 0.01%
415 BCE INC 895 40,597 0.01%
416 PROSHARES TR 350 40,523 0.01%
417 WASTE MGMT INC DEL 900 40,257 0.01%
418 ISHARES NORTH AMERICAN NATURAL RESOURCES ETF 799 39,910 0.01%
419 FIRST TR MULTI CAP VALUE ALP 845 39,732 0.01%
420 TRANSATLANTIC PETROLEUM LTD 3,487 39,717 0.01%
421 GRUPO AEROPORTUARIO DEL SURE 310 39,376 0.01%
422 POWERSHARES ETF TR II 1,975 38,710 0.01%
423 PITNEY BOWES INC 1,400 38,668 0.01%
424 EMPIRE DIST ELEC CO 1,500 38,520 0.01%
425 LYONDELLBASELL INDUSTRIES N 394 38,474 0.01%
426 WisdomTree Earnings 500 ETF 562 38,340 0.01%
427 CPFL ENERGIA S A 2,106 38,329 0.01%
428 GILEAD SCIENCES INC 460 38,139 0.01%
429 LAS VEGAS SANDS CORP 500 38,110 0.01%
430 ANSYS 500 37,910 0.01%
431 TRINITY INDS INC 866 37,862 0.01%
432 PETROLEO BRASILEIRO SA PETRO 2,588 37,862 0.01%
433 SCHWAB INTERNATIONAL EQUITY ETF 1,143 37,696 0.01%
434 CONTINENTAL RESOURE 238 37,614 0.01%
435 ISHARES 780 37,268 0.01%
436 LINN ENERGY LLC UNIT LTD LIAB 1,152 37,267 0.01%
437 Curis, Inc 20,000 37,200 0.01%
438 PEABODY ENERGY CORP 2,273 37,164 0.01%
439 Proshares Short S&P 500 1,555 36,325 0.01%
440 PROSHARES TR 500 35,980 0.01%
441 ISHARES TR 494 35,869 0.01%
442 VANGUARD INTL EQUITY INDEX F 320 35,571 0.01%
443 AMGEN INC 300 35,511 0.01%
444 RACKSPACE HOSTING INC 1,050 35,343 0.01%
445 ISHARES TR 475 35,340 0.01%
446 EPAM SYS INC 807 35,306 0.01%
447 JAZZ PHARMACEUTICALS PLC 240 35,282 0.01%
448 ISHARES TR 344 35,095 0.01%
449 SSGA ACTIVE ETF TR 700 35,000 0.01%
450 CNOOC LTD 190 34,065 0.01%
Page 9 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES MSCI SINGAP ETF 17,812 241 0.09%
2 JDS UNIPHASE CORP COM PAR $0.001 256 3 0.00%
3 REVOLUTION LIGHTING TECHNOLO COM 500 1 0.00%
4 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 29 0.01%
5 FRONTLINE LTD ORD 760 2 0.00%
6 INTERCONTINENTAL HTLS GRP PL 566 23 0.01%
7 OI S.A. SPN ADR 312 0 0.00%
8 PEABODY ENERGY CORP 2,273 37 0.01%
9 Williams Partners Lp 400 22 0.01%
10 * SANDRIDGE ENERGY INC COM 100 1 0.00%
11 3-D SYS CORP DEL 2,960 177 0.06%
12 3M CO 3,575 512 0.18%
13 ABB LTD 2,226 51 0.02%
14 ABBOTT LABS 60,222 2,463 0.88%
15 ABBVIE INC 46,644 2,633 0.94%
16 ACCENTURE PLC IRELAND 637 51 0.02%
17 ACUITY BRANDS INC 420 58 0.02%
18 ADAMS DIVERSIFIED EQUITY FD 1,426 20 0.01%
19 ADOBE INC 100 7 0.00%
20 ADVANCE AUTO PARTS INC 794 107 0.04%
21 ADVENT CLAYMORE CV SECS & INCORPORATED 325 3 0.00%
22 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
23 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69 0.02%
24 ADVISORSHARES TR 56 3 0.00%
25 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,875 94 0.03%
26 AEGON N V 225 2 0.00%
27 AETNA INC NEW 76 6 0.00%
28 AFLAC INC 8,364 521 0.19%
29 AGL Resources Inc 100 6 0.00%
30 AGRIUM INC 150 14 0.00%
31 AIR PRODS & CHEMS INC 2,398 308 0.11%
32 AK STL HLDG CORP 3,245 26 0.01%
33 AKAMAI TECHNOLOGIES INC 350 21 0.01%
34 AKORN INCORPORATED 1,013 34 0.01%
35 ALEXION PHARMACEUTIC 200 31 0.01%
36 ALLIANCE RES PARTNER L P 8,231 384 0.14%
37 ALLIANCEBERNSTEIN GLOBAL HIG 1,181 17 0.01%
38 ALLIANT ENERGY CORP 1,650 100 0.04%
39 ALLIANZGI CONV & INCOME FD 1,900 20 0.01%
40 ALLSTATE CORP 185 11 0.00%
41 ALPS ETF TR 300 9 0.00%
42 ALPS ETF TR 93,199 1,771 0.63%
43 ALPS ETF TR 5 0 0.00%
44 ALTRIA GROUP INC 48,154 2,020 0.72%
45 AMAZON COM INC 6,764 2,197 0.78%
46 AMBEV SA 33,136 233 0.08%
47 AMER STATES WTR CO 3,325 110 0.04%
48 AMEREN CORP 2,400 98 0.03%
49 AMERICAN ELEC PWR INC 9,419 525 0.19%
50 AMERICAN INTL GROUP INC 194 11 0.00%
Page 1 of 19