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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 20Plus YR TREASURY BND 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 INC 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 Trust BLOOMBERG SRT TR 97,269 3,011,448 1.07%
14 ISHARES TR 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 COM 70,199 2,628,953 0.94%
18 HCP INC 63,512 2,628,127 0.94%
19 ISHARES BARCLAYS MBS BOND 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 COM 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 International, 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 COM 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 COM 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 FD INC 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 COM 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 ISHARES 20Plus YR TREASURY BND 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 INC 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 Trust BLOOMBERG SRT TR 97,269 3,011,448 1.07%
14 ISHARES TR 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 COM 70,199 2,628,953 0.94%
18 HCP INC 63,512 2,628,127 0.94%
19 ISHARES BARCLAYS MBS BOND 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 COM 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 International, 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 COM 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 COM 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 FD INC 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 COM 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 (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
751 SPDR SERIES TRUST 2,652 161 0.06%
752 SPDR SERIES TRUST 157,129 6,557 2.34%
753 SPDR SERIES TRUST 6,513 499 0.18%
754 SPDR SERIES TRUST 60 3 0.00%
755 SPDR Ser Trust BLOOMBERG SRT TR 97,269 3,011 1.07%
756 SPECTRA ENERGY CORP 484 21 0.01%
757 SPECTRA ENERGY PARTNERS LP 5,513 294 0.10%
758 SPECTRUM PHARMACEUTICALS INC 400 3 0.00%
759 SPRINT CORP 294 3 0.00%
760 STAMPS COM INC 220 7 0.00%
761 STANLEY BLACK & DECKER INC COM 1,800 158 0.06%
762 STARBUCKS CORP 1,230 95 0.03%
763 STATOIL ASA 10 0 0.00%
764 STEEL DYNAMICS INC COM 33,307 598 0.21%
765 STEMCELLS INC COM NEW 1,870 4 0.00%
766 STERICYCLE INC COM 2,200 261 0.09%
767 STMicroelectronics N.V. 131 1 0.00%
768 STRYKER CORP 60 5 0.00%
769 STURM RUGER & CO 261 15 0.01%
770 SUMITOMO MITSUI FINL GROUP INC SPONSORED ADR 205 2 0.00%
771 SUN LIFE FINL INC COM 334 12 0.00%
772 SUNPOWER CORP COM 100 4 0.00%
773 SUNTRUST BKS INC COM 29 1 0.00%
774 SWEDISH EXPT CR CORP 208 2 0.00%
775 SYNAPTICS INC 811 74 0.03%
776 SYNTEL INC COM 115 10 0.00%
777 SYSCO CORP COM 70,199 2,629 0.94%
778 Safeway Inc - Safeway PDC LLC CVR 114 4 0.00%
779 Sociedad Quimica y Minera de Chile S A 79 2 0.00%
780 Spirit Realty Capital 10,089 115 0.04%
781 Star Bulk Carriers Corp. 116 2 0.00%
782 Stoneridge Inc 200 2 0.00%
783 Stratasys Ltd 2,400 273 0.10%
784 Strayer Ed Inc 35 2 0.00%
785 TABLEAU SOFTWARE INC 100 7 0.00%
786 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 222 5 0.00%
787 TAL ED GROUP 607 17 0.01%
788 TASER INTL INC 200 3 0.00%
789 TE CONNECTIVITY LTD REG SHS 67 4 0.00%
790 TEAM HEALTH HOLDINGS INC 628 31 0.01%
791 TECO ENERGY INC 913 17 0.01%
792 TEEKAY OFFSHORE PARTNERS L P PARTNERSHIP UN 68 2 0.00%
793 TELEFONICA BRASIL SA 27 1 0.00%
794 TELEFONICA S A SPONSORED ADR 1,152 20 0.01%
795 TEMPLETON EMERG MKTS INCOME 585 8 0.00%
796 TESLA INC 112 27 0.01%
797 TESORO CORP COM 200 12 0.00%
798 THERMO FISHER SCIENTIFIC INC 70 8 0.00%
799 THORATEC LABS CORP 160 6 0.00%
800 TIME WARNER INC NEW 221 33 0.01%
Page 16 of 19