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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 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
1 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 28,764 0.01%
2 FRONTLINE LTD ORD 760 2,219 0.00%
3 INTERCONTINENTAL HTLS GRP PL 566 23,495 0.01%
4 OI S.A. SPN ADR 312 268 0.00%
5 Williams Partners Lp 400 21,716 0.01%
6 * SANDRIDGE ENERGY INC COM 100 715 0.00%
7 3-D SYS CORP DEL 2,960 177,008 0.06%
8 3M CO 3,575 512,083 0.18%
9 ABB LTD 2,226 51,243 0.02%
10 ABBOTT LABS 60,222 2,463,080 0.88%
11 ABBVIE INC 46,644 2,632,587 0.94%
12 ACCENTURE PLC IRELAND 637 51,495 0.02%
13 ACUITY BRANDS INC 420 58,065 0.02%
14 ADAMS DIVERSIFIED EQUITY FD 1,426 19,608 0.01%
15 ADOBE INC 100 7,236 0.00%
16 ADVANCE AUTO PARTS INC 794 107,126 0.04%
17 ADVENT CLAYMORE CV SECS & INCORPORATED 300 5,652 0.00%
18 ADVENT CLAYMORE ENH GRW & IN 325 3,348 0.00%
19 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69,139 0.02%
20 ADVISORSHARES TR 56 2,985 0.00%
21 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,875 93,600 0.03%
22 AEGON N V 225 1,973 0.00%
23 AETNA INC NEW 76 6,162 0.00%
24 AFLAC INC 8,364 520,659 0.19%
25 AGL Resources Inc 100 5,503 0.00%
26 AGRIUM INC 150 13,745 0.00%
27 AIR PRODS & CHEMS INC 2,398 308,431 0.11%
28 AK STL HLDG CORP 3,245 25,830 0.01%
29 AKAMAI TECHNOLOGIES INC 350 21,371 0.01%
30 AKORN INCORPORATED 1,013 33,682 0.01%
31 ALEXION PHARMACEUTICALS INC 200 31,250 0.01%
32 ALLIANCE RES PARTNER L P 8,231 383,976 0.14%
33 ALLIANCEBERNSTEIN GLOBAL HIG 1,181 16,971 0.01%
34 ALLIANT ENERGY CORP 1,650 100,419 0.04%
35 ALLIANZGI CONV & INCOME FD 1,900 20,121 0.01%
36 ALLSTATE CORP 185 10,863 0.00%
37 ALPS ETF TR 5 214 0.00%
38 ALPS ETF TR 93,199 1,770,781 0.63%
39 ALPS ETF TR 300 9,429 0.00%
40 ALTRIA GROUP INC 48,154 2,019,579 0.72%
41 AMAZON COM INC 6,764 2,196,812 0.78%
42 AMBEV SA 33,136 233,277 0.08%
43 AMER STATES WTR CO 3,325 110,490 0.04%
44 AMEREN CORP 2,400 98,112 0.03%
45 AMERICAN ELEC PWR INC 9,419 525,298 0.19%
46 AMERICAN INTL GROUP INC 194 10,589 0.00%
47 AMERICAN INTL GROUP INC 68 1,809 0.00%
48 AMERICAN RAILCAR INDS INC 200 13,554 0.00%
49 AMERICAN RLTY CAP PPTYS INC 74,071 928,110 0.33%
50 AMERICAN WTR WKS CO INC NEW 129 6,379 0.00%
Page 1 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
501 GENTHERM INC 592 26 0.01%
502 AK STL HLDG CORP 3,245 26 0.01%
503 EXTREME NETWORKS COM 5,540 25 0.01%
504 SCHLUMBERGER LTD 214 25 0.01%
505 VALEANT PHARMACEUTICALS INTL 200 25 0.01%
506 POWERSHARES ETF TR II 810 25 0.01%
507 PENNEY J C INC 2,767 25 0.01%
508 CHESAPEAKE ENERGY CORP 800 25 0.01%
509 GABELLI UTIL TR 3,400 25 0.01%
510 ISHARES INC 520 25 0.01%
511 Arris Group Inc 750 24 0.01%
512 FIRST TR EXCHANGE TRADED FD 450 24 0.01%
513 NORTHEASTUTILITI 500 24 0.01%
514 COVIDIEN PLC 266 24 0.01%
515 MFA FINANCIAL INC COM 2,945 24 0.01%
516 FIRST TR SR FLG RTE INCM FD 1,700 24 0.01%
517 VELOCITYSHARES DAILY INVERSE VIX SHORT TERM ETN 525 24 0.01%
518 VANGUARD INDEX FDS 219 23 0.01%
519 GLAXOSMITHKLINE PLC 422 23 0.01%
520 NOKIA CORP 3,000 23 0.01%
521 IPG PHOTONICS CORP 328 23 0.01%
522 NIKE INC 300 23 0.01%
523 PAN AMERN SILVER CORP 1,500 23 0.01%
524 ANHEUSER BUSCH INBEV SA/NV 200 23 0.01%
525 INTERCONTINENTAL HTLS GRP PL 566 23 0.01%
526 BP PRUDHOE BAY RTY TR 219 22 0.01%
527 ONEOK INC NEW 326 22 0.01%
528 CITIGROUP INC 466 22 0.01%
529 NUVEEN PERFORMANCE PLUS MUNICIPAL FUND INC 1,500 22 0.01%
530 Williams Partners Lp 400 22 0.01%
531 VANGUARD WORLD FD 200 22 0.01%
532 RAYMOND JAMES FINANC 435 22 0.01%
533 PEMBINA PIPELINE CORP 510 22 0.01%
534 OCCIDENTAL PETE CORP DEL 203 21 0.01%
535 SOUTHERN COPPER CORP 695 21 0.01%
536 SPECTRA ENERGY CORP 484 21 0.01%
537 PROTO LABS INC COM 252 21 0.01%
538 GREEN PLAINS INC COM 645 21 0.01%
539 AKAMAI TECHNOLOGIES INC 350 21 0.01%
540 VALERO ENERGY CORP NEW 416 21 0.01%
541 BLACKROCK MUN INCOME TR 1,500 21 0.01%
542 SOLARCITY CORP 300 21 0.01%
543 Breitburn Energy Partners LP 915 20 0.01%
544 ALLIANZGI CONV & INCOME FD 1,900 20 0.01%
545 TELEFONICA S A 1,152 20 0.01%
546 FIRST TR EXCH TRD ALPHDX FD 800 20 0.01%
547 ISHARES GOLD TRUST 1,580 20 0.01%
548 TRAVELERS COMPANIES INC 214 20 0.01%
549 ADAMS DIVERSIFIED EQUITY FD 1,426 20 0.01%
550 M & T BK CORP 164 20 0.01%
Page 11 of 19