REGAL INVESTMENT ADVISORS LLC

Filed: 11/13/2023ACC: 0001559789-23-000002

📋 What this filing means

REGAL INVESTMENT ADVISORS LLC filed this quarterly 13F‑HR report disclosing 499 equity positions with a total reported market value of $1.19B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

499

Positions

$1.19B

Total AUM (reported)

17.74M

Total Shares

Allocation by class

COM$350.97M29.5%

CORE S&P500 ETF$72.47M6.1%

CALL$28.45M2.4%

CORE S&P TTL STK$21.92M1.8%

NASDAQ COMPSIT$18.94M1.6%

US DIVIDEND EQ$18.29M1.5%

TR UNIT$18.28M1.5%

Portfolio Concentration

Top 3$125.03M10.5%

4–10$133.55M11.2%

11–25$181.03M15.2%

Rest$748.32M63.0%

Top 3 weight

10.5%

Top 10 weight

21.8%

Voting Authority Distribution

Total shares with voting rights: 17.74M

Sole

Full voting authority

2.09M

% of voting shares11.8%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

15.65M

% of voting shares88.2%

Investment Discretion (by position count)

Sole499

Shared0

Other0

Dominant voting typeNone · 88.2% of voting shares

Institutional Holdings499

Rows:

ISHARES TR

SOLE

CORE S&P500 ETF

Shares168.76K

TypeSH

Market value$72.47M

6.10%

Sole

43.59K

Shared

0.00

None

125.17K

INVESCO QQQ TR

SOLE

CALL

Shares79.42K

TypeSH

Market value$28.45M

2.40%

Sole

20.38K

Shared

0.00

None

59.04K

APPLE INC

SOLE

COM

Shares140.77K

TypeSH

Market value$24.10M

2.03%

Sole

71.96K

Shared

0.00

None

68.81K

ISHARES TR

SOLE

CORE S&P TTL STK

Shares232.67K

TypeSH

Market value$21.92M

1.84%

Sole

1.21K

Shared

0.00

None

231.47K

MICROSOFT CORP

SOLE

COM

Shares67.02K

TypeSH

Market value$21.16M

1.78%

Sole

Shared

0.00

None

61.02K

FIDELITY COMWLTH TR

SOLE

NASDAQ COMPSIT

Shares364.32K

TypeSH

Market value$18.94M

1.59%

Sole

10.28K

Shared

0.00

None

354.04K

SCHWAB STRATEGIC TR

SOLE

US DIVIDEND EQ

Shares258.44K

TypeSH

Market value$18.29M

1.54%

Sole

0.00

Shared

0.00

None

258.44K

SPDR S&P 500 ETF TR

SOLE

TR UNIT

Shares42.77K

TypeSH

Market value$18.28M

1.54%

Sole

25.36K

Shared

0.00

None

17.41K

ISHARES TR

SOLE

IBOXX INV CP ETF

Shares177.46K

TypeSH

Market value$18.10M

1.52%

Sole

532.00

Shared

0.00

None

176.93K

ABBVIE INC

SOLE

COM

Shares113.10K

TypeSH

Market value$16.86M

1.42%

Sole

1.29K

Shared

0.00

None

111.81K

FIRST TR EXCHANGE-TRADED FD

SOLE

CAP STRENGTH ETF

Shares222K

TypeSH

Market value$16.35M

1.38%

Sole

210.89K

Shared

0.00

None

11.11K

PROCTER AND GAMBLE CO

SOLE

COM

Shares96.96K

TypeSH

Market value$14.14M

1.19%

Sole

1.98K

Shared

0.00

None

94.99K

VANGUARD INDEX FDS

SOLE

GROWTH ETF

Shares50.77K

TypeSH

Market value$13.83M

1.16%

Sole

150.00

Shared

0.00

None

50.62K

ISHARES TR

SOLE

PFD AND INCM SEC

Shares450.49K

TypeSH

Market value$13.58M

1.14%

Sole

2.75K

Shared

0.00

None

447.74K

JOHNSON & JOHNSON

SOLE

COM

Shares85.98K

TypeSH

Market value$13.39M

1.13%

Sole

2.41K

Shared

0.00

None

83.58K

ISHARES TR

SOLE

CORE TOTAL USD

Shares284.11K

TypeSH

Market value$12.42M

1.05%

Sole

0.00

Shared

0.00

None

284.11K

VANGUARD SPECIALIZED FUNDS

SOLE

DIV APP ETF

Shares76.59K

TypeSH

Market value$11.90M

1.00%

Sole

100.00

Shared

0.00

None

76.49K

VANGUARD TAX-MANAGED FDS

SOLE

VAN FTSE DEV MKT

Shares266.72K

TypeSH

Market value$11.66M

0.98%

Sole

0.00

Shared

0.00

None

266.72K

VANGUARD INDEX FDS

SOLE

S&P 500 ETF SHS

Shares29.65K

TypeSH

Market value$11.64M

0.98%

Sole

0.00

Shared

0.00

None

29.65K

SSGA ACTIVE ETF TR

SOLE

BLACKSTONE SENR

Shares276.26K

TypeSH

Market value$11.58M

0.98%

Sole

0.00

Shared

0.00

None

276.26K

GOLDMAN SACHS ETF TR

SOLE

ACTIVEBETA US LG

Shares128.59K

TypeSH

Market value$10.83M

0.91%

Sole

0.00

Shared

0.00

None

128.59K

INVESCO EXCHANGE TRADED FD T

SOLE

S&P 500 GARP ETF

Shares111.50K

TypeSH

Market value$10.17M

0.86%

Sole

0.00

Shared

0.00

None

111.50K

ISHARES TR

SOLE

CORE S&P SCP ETF

Shares106.41K

TypeSH

Market value$10.04M

0.84%

Sole

14.75K

Shared

0.00

None

91.66K

FIRST TR EXCHNG TRADED FD VI

SOLE

VEST US BUFFER

Shares263.05K

TypeSH

Market value$9.83M

0.83%

Sole

256.46K

Shared

0.00

None

6.59K

EMERSON ELEC CO

SOLE

COM

Shares99.99K

TypeSH

Market value$9.66M

0.81%

Sole

1.97K

Shared

0.00

None

98.02K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
ISHARES TRSOLE	CORE S&P500 ETF	168.76K	SH	$72.47M 6.10%	43.59K	125.17K
INVESCO QQQ TRSOLE	CALL	79.42K	SH	$28.45M 2.40%	20.38K	59.04K
APPLE INCSOLE	COM	140.77K	SH	$24.10M 2.03%	71.96K	68.81K
ISHARES TRSOLE	CORE S&P TTL STK	232.67K	SH	$21.92M 1.84%	1.21K	231.47K
MICROSOFT CORPSOLE	COM	67.02K	SH	$21.16M 1.78%	6K	61.02K
FIDELITY COMWLTH TRSOLE	NASDAQ COMPSIT	364.32K	SH	$18.94M 1.59%	10.28K	354.04K
SCHWAB STRATEGIC TRSOLE	US DIVIDEND EQ	258.44K	SH	$18.29M 1.54%	0.00	258.44K
SPDR S&P 500 ETF TRSOLE	TR UNIT	42.77K	SH	$18.28M 1.54%	25.36K	17.41K
ISHARES TRSOLE	IBOXX INV CP ETF	177.46K	SH	$18.10M 1.52%	532.00	176.93K
ABBVIE INCSOLE	COM	113.10K	SH	$16.86M 1.42%	1.29K	111.81K
FIRST TR EXCHANGE-TRADED FDSOLE	CAP STRENGTH ETF	222K	SH	$16.35M 1.38%	210.89K	11.11K
PROCTER AND GAMBLE COSOLE	COM	96.96K	SH	$14.14M 1.19%	1.98K	94.99K
VANGUARD INDEX FDSSOLE	GROWTH ETF	50.77K	SH	$13.83M 1.16%	150.00	50.62K
ISHARES TRSOLE	PFD AND INCM SEC	450.49K	SH	$13.58M 1.14%	2.75K	447.74K
JOHNSON & JOHNSONSOLE	COM	85.98K	SH	$13.39M 1.13%	2.41K	83.58K
ISHARES TRSOLE	CORE TOTAL USD	284.11K	SH	$12.42M 1.05%	0.00	284.11K
VANGUARD SPECIALIZED FUNDSSOLE	DIV APP ETF	76.59K	SH	$11.90M 1.00%	100.00	76.49K
VANGUARD TAX-MANAGED FDSSOLE	VAN FTSE DEV MKT	266.72K	SH	$11.66M 0.98%	0.00	266.72K
VANGUARD INDEX FDSSOLE	S&P 500 ETF SHS	29.65K	SH	$11.64M 0.98%	0.00	29.65K
SSGA ACTIVE ETF TRSOLE	BLACKSTONE SENR	276.26K	SH	$11.58M 0.98%	0.00	276.26K
GOLDMAN SACHS ETF TRSOLE	ACTIVEBETA US LG	128.59K	SH	$10.83M 0.91%	0.00	128.59K
INVESCO EXCHANGE TRADED FD TSOLE	S&P 500 GARP ETF	111.50K	SH	$10.17M 0.86%	0.00	111.50K
ISHARES TRSOLE	CORE S&P SCP ETF	106.41K	SH	$10.04M 0.84%	14.75K	91.66K
FIRST TR EXCHNG TRADED FD VISOLE	VEST US BUFFER	263.05K	SH	$9.83M 0.83%	256.46K	6.59K
EMERSON ELEC COSOLE	COM	99.99K	SH	$9.66M 0.81%	1.97K	98.02K

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