REGAL INVESTMENT ADVISORS LLC

HTTP://WWW.REGALRIA.COM KENTWOOD, MI Investment Advisor How do I update this listing?

Regal Investment Advisors is based out of Kentwood. Regal Investment Advisors is a large advisory firm with 7035 clients and discretionary assets under management (AUM) of $1,259,186,633 (Form ADV from 2019-07-02). Their last reported 13F filing for Q3 2019 included $512,431,000 in managed 13F securities and a top 10 holdings concentration of 20.61%. Regal Investment Advisors's largest holding is iShares Core S&P 500 ETF with shares held of 62,725. Regal Investment Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 31 13F filings

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67

S&P 500
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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $512.431 Million
  • Prior Market Value $513.242 Million
  • New Purchases31 stocks
  • Additional Purchases120 stocks
  • Sold out of30 stocks
  • Reduced holdings in151 stocks
  • Top 10 Holdings % 20.61 %
  • Turnover % [1]:19.18%
  • Turnover Alt % [2]: 7.57 %
  • Time Held Top20:11.15 quarters
  • Time Held Top10:9.10 quarters
  • Time Held All:13.54 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 9.38%
Performance Last 4 Quarters: 16.3%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR/A (Subscription required)
  • 2014-06-30 - 13F-HR/A (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR/A (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR/A (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

REGAL INVESTMENT ADVISORS LLC
2687 44TH STREET SE
KENTWOOD MI    49512
Country: United States

Business Phone: 616-224-2204
Fax: 616-458-7402
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MI
Number of employees: 130
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,THIRD PARTY FEES
Amount of client funds and securities: 441,616,000
Total Number of Clients: 7035
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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REGAL INVESTMENT ADVISORS LLC

ownership team - last updated 2019-07-02
Name Title Start Date Direct/Indirect % Ownership
KAILUNAS, JOHN, ANTHONY MANAGING MEMBER AND CEO 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC PRESIDENT, COO direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER AND CEO direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER AND PRESIDENT direct 2000-01-01
KMS INVESTMENT SERVICES, LLC MEMBER indirect 2009-03-01
1ST CONSUMER ADVISORY GROUP LLC MEMBER indirect 2009-03-01
YARCH, BRIAN, DALE MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER 01/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC VICE PRESIDENT, OPERATIONS direct 2000-01-01
KMS INVESTMENT SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
KMS INVESTMENT SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2014-12-01
CARLSON, DONALD, NATE EXECUTIVE VICE PRESIDENT 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC EXECUTIVE VICE PRESIDENT direct 2012-06-01
TASSONI, JAMES, CARROLL CHIEF INVESTMENT OFFICER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2014-03-01

REGAL INVESTMENT ADVISORS LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
KAILUNAS, JOHN, ANTHONY MANAGING MEMBER AND CEO 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC PRESIDENT, COO direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER AND CEO direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER AND PRESIDENT direct 2000-01-01
KMS INVESTMENT SERVICES, LLC MEMBER indirect 2009-03-01
1ST CONSUMER ADVISORY GROUP LLC MEMBER indirect 2009-03-01
YARCH, BRIAN, DALE MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER 01/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC VICE PRESIDENT, OPERATIONS direct 2000-01-01
KMS INVESTMENT SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
KMS INVESTMENT SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2014-12-01
CARLSON, DONALD, NATE EXECUTIVE VICE PRESIDENT 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC EXECUTIVE VICE PRESIDENT direct 2012-06-01
TASSONI, JAMES, CARROLL CHIEF INVESTMENT OFFICER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2014-03-01

REGAL INVESTMENT ADVISORS LLC

ownership team - last updated 2018-11-09
Name Title Start Date Direct/Indirect % Ownership
KAILUNAS, JOHN, ANTHONY MANAGING MEMBER AND CEO 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC PRESIDENT, COO direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER AND CEO direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER AND PRESIDENT direct 2000-01-01
KMS INVESTMENT SERVICES, LLC MEMBER indirect 2009-03-01
1ST CONSUMER ADVISORY GROUP LLC MEMBER indirect 2009-03-01
YARCH, BRIAN, DALE MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER 01/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC VICE PRESIDENT, OPERATIONS direct 2000-01-01
KMS INVESTMENT SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
KMS INVESTMENT SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2014-12-01
CARLSON, DONALD, NATE EXECUTIVE VICE PRESIDENT 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC EXECUTIVE VICE PRESIDENT direct 2012-06-01
TASSONI, JAMES, CARROLL CHIEF INVESTMENT OFFICER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2014-03-01

REGAL INVESTMENT ADVISORS LLC

ownership team - last updated 2018-06-05
Name Title Start Date Direct/Indirect % Ownership
KAILUNAS, JOHN, ANTHONY MANAGING MEMBER AND CEO 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC PRESIDENT, COO direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER AND CEO direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER AND PRESIDENT direct 2000-01-01
KMS INVESTMENT SERVICES, LLC MEMBER indirect 2009-03-01
1ST CONSUMER ADVISORY GROUP LLC MEMBER indirect 2009-03-01
YARCH, BRIAN, DALE MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER 01/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2000-01-01
REGAL INVESTMENT ADVISORS LLC VICE PRESIDENT, OPERATIONS direct 2000-01-01
KMS INVESTMENT SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
KMS INVESTMENT SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2014-12-01
CARLSON, DONALD, NATE EXECUTIVE VICE PRESIDENT 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC EXECUTIVE VICE PRESIDENT direct 2012-06-01
TASSONI, JAMES, CARROLL CHIEF INVESTMENT OFFICER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
REGAL INVESTMENT ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2014-03-01

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