Current Holdings (from 13F, 13D)

InvestorRegal Investment Advisors LLC
Portfolio Value$ 428,719,000
Current Positions272
Opened Positions5
Closed Positions17

Regal Investment Advisors LLC has disclosed 272 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 428,719,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed). Regal Investment Advisors LLC's top holdings are iShares Core S&P 500 ETF (NYSE:IVV) , iShares Core S&P Small-Cap ETF (NYSE:IJR) , SPDR S&P 500 ETF Trust (NYSE:SPY) , iShares iBoxx $ Investment Grade Corporate Bond ETF (NYSE:LQD) , and AbbVie Inc. (NYSE:ABBV) . Regal Investment Advisors LLC's new positions include DowDuPont Inc. (NYSE:DWDP) , Andeavor Corp. (NYSE:ANDV) , O'Reilly Automotive, Inc. (NASDAQ:ORLY) , Analog Devices, Inc. (NASDAQ:ADI) , and NuStar Energy L.P. (NYSE:NS) .


All Regal Investment Advisors LLC holdings are listed in the following table. This data is sourced from 13D/13G, and 13F filings. Green rows indicate new positions. Red rows indicate closed positions.

This 13F was filed on 2017-11-08. Click the link icon to see the full transaction history.

Reporting PeriodFormSecurity Imputed
Share Price
Prev SharesCurrent SharesChange
(Percent)
Prev Value ($K)Current Value ($K)Change
(Percent)
2017‑09‑30 13F-HR FQF TR / OSHARS FTSE US (351680855) 30.24 7,574 229
2017‑09‑30 13F-HR JNK / SPDR Barclays High Yield Bond ETF 37.32 49,825 49,840 0.03 1,853 1,860 0.38
2017‑09‑30 13F-HR POWERSHARES ETF TRUST II / KBW HG YLD FIN (73936Q793) 24.06 13,908 15,044 8.17 338 362 7.10
2017‑09‑30 13F-HR KMI / Kinder Morgan, Inc. 19.16 18,568 17,637 -5.01 356 338 -5.06
2017‑09‑30 13F-HR USMV / iShares Edge MSCI Min Vol USA ETF 50.33 47,125 40,096 -14.92 2,306 2,018 -12.49
2017‑09‑30 13F-HR VEA / Vanguard FTSE Developed Markets ETF 43.41 171,659 170,875 -0.46 7,093 7,418 4.58
2017‑09‑30 13F-HR CVX / Chevron Corp. 117.53 8,805 9,325 5.91 919 1,096 19.26
2017‑09‑30 13F-HR UNLYF / Unilever, PLC 58.06 0 3,617 0 210
2017‑09‑30 13F-HR UAA / Under Armour, Inc. 16.49 33,551 34,318 2.29 730 566 -22.47
2017‑09‑30 13F-HR IWD / iShares Russell 1000 Value ETF 118.76 2,140 2,063 -3.60 249 245 -1.61
2017‑09‑30 13F-HR ESRX / Express Scripts Holding Co. 63.31 28,932 25,730 -11.07 1,847 1,629 -11.80
2017‑09‑30 13F-HR AMD / Advanced Micro Devices, Inc. 12.73 11,000 11,000 0.00 137 140 2.19
2017‑09‑30 13F-HR MUB / iShares National Muni Bond ETF 110.89 23,875 22,157 -7.20 2,629 2,457 -6.54
2017‑09‑30 13F-HR PGX / PowerShares Preferred Portfolio 15.02 26,673 28,302 6.11 403 425 5.46
2017‑09‑30 13F-HR GOVT / iShares U.S. Treasury Bond ETF 25.24 28,489 34,192 20.02 720 863 19.86
2017‑09‑30 13F-HR SDY / SPDR S&P Dividend ETF 91.36 3,043 3,043 0.00 270 278 2.96
2017‑09‑30 13F-HR MELI / MercadoLibre, Inc. 258.45 0 828 0 214
2017‑09‑30 13F-HR MDT / Medtronic plc 77.68 0 2,858 0 222
2017‑09‑30 13F-HR AGG / iShares Core U.S. Aggregate Bond ETF 109.59 21,441 13,678 -36.21 2,348 1,499 -36.16
2017‑09‑30 13F-HR ABBV / AbbVie Inc. 88.86 78,860 84,728 7.44 5,718 7,529 31.67
2017‑09‑30 13F-HR CAT / Caterpillar, Inc. 124.65 0 1,805 0 225
2017‑09‑30 13F-HR GG / Goldcorp, Inc. 12.99 14,478 13,477 -6.91 187 175 -6.42
2017‑09‑30 13F-HR VXUS / Vanguard Total International Stock ETF 54.72 5,871 5,903 0.55 305 323 5.90
2017‑09‑30 13F-HR MS / Morgan Stanley 48.08 0 4,534 0 218
2017‑09‑30 13F-HR EEM / iShares MSCI Emerging Markets ETF 44.81 129,213 149,028 15.34 5,348 6,678 24.87
2017‑09‑30 13F-HR VOT / Vanguard Mid-Cap Growth ETF 121.77 19,072 18,609 -2.43 2,244 2,266 0.98
2017‑09‑30 13F-HR CTSO / Cytosorbents Corp 31.06 9,368 9,368 0.00 281 291 3.56
2017‑09‑30 13F-HR VTIP / Vanguard Short-Term Inflation-Protected Securities Index Fund 49.43 19,846 21,019 5.91 977 1,039 6.35
2017‑09‑30 13F-HR IJK / iShares S&P MidCap 400 Growth ETF 202.70 0 1,184 0 240
2017‑09‑30 13F-HR IJH / iShares Core S&P MidCap ETF 178.91 28,554 29,478 3.24 4,967 5,274 6.18
2017‑09‑30 13F-HR NUE / Nucor Corp. 56.01 12,232 12,838 4.95 708 719 1.55
2017‑09‑30 13F-HR IYF / iShares U.S. Financial ETF 112.23 2,177 2,085 -4.23 234 234 0.00
2017‑09‑30 13F-HR XLK / SPDR Technology Select Sector ETF 59.03 8,187 7,572 -7.51 448 447 -0.22
2017‑09‑30 13F-HR UEPS / Net 1 UEPS Technologies, Inc. 9.72 16,057 156
2017‑09‑30 13F-HR SNY / Sanofi 49.80 0 4,839 0 241
2017‑09‑30 13F-HR SYY / SYSCO Corp. 53.95 12,722 14,069 10.59 640 759 18.59
2017‑09‑30 13F-HR SPDR SER TR / NUVEEN BLMBRG SR (78468R739) 48.58 14,839 15,275 2.94 720 742 3.06
2017‑09‑30 13F-HR TIP / iShares TIPS Bond ETF 113.67 7,861 4,900 -37.67 892 557 -37.56
2017‑09‑30 13F-HR SLYG / SPDR S&P 600 Small Cap Growth ETF 227.48 1,328 1,332 0.30 287 303 5.57
2017‑09‑30 13F-HR PROSHARES TR / ULTSHRT QQQ (74348A426) 15.43 17,689 273
2017‑09‑30 13F-HR FIRST TR EXCH TRADED FD III / RIVRFRNT DYN EUR (33739P806) 64.59 47,119 50,516 7.21 2,881 3,263 13.26
2017‑09‑30 13F-HR QCOM / QUALCOMM Incorporated 51.81 5,052 5,057 0.10 279 262 -6.09
2017‑09‑30 13F-HR SCHG / Schwab U.S. Large-Cap Growth ETF 65.99 3,625 3,637 0.33 229 240 4.80
2017‑09‑30 13F-HR ISHARES TR / MTG REL ETF NEW (46435G342) 46.84 27,291 21,266 -22.08 1,266 996 -21.33
2017‑09‑30 13F-HR FIRST TR EXCH TRADED FD III / RIVRFRNT DYN DEV (33739P608) 63.06 42,595 46,622 9.45 2,562 2,940 14.75
2017‑09‑30 13F-HR SCZ / iShares MSCI EAFE Small-Cap ETF 61.98 15,831 17,247 8.94 916 1,069 16.70
2017‑09‑30 13F-HR SCHD / Schwab US Dividend Equity ETF 46.80 110,008 109,140 -0.79 4,961 5,108 2.96
2017‑09‑30 13F-HR FIRST TR EXCH TRADED FD III / RIVR FRNT DYN (33739P707) 67.11 36,829 39,724 7.86 2,293 2,666 16.27
2017‑09‑30 13F-HR RSX / VanEck Vectors ETF TR 22.29 0 34,000 0 758
2017‑09‑30 13F-HR POWERSHARES GLOBAL ETF FD / S&P 500 BUYWRT (73936G308) 22.24 30,241 30,798 1.84 672 685 1.93
2017‑09‑30 13F-HR PNC / PNC Financial Services Group, Inc. (The) 134.73 11,093 11,052 -0.37 1,385 1,489 7.51
2017‑09‑30 13F-HR PG / Procter & Gamble Co. (The) 90.97 45,092 52,654 16.77 3,930 4,790 21.88
2017‑09‑30 13F-HR PFF / iShares U.S. Preferred Stock ETF 38.81 197,056 181,321 -7.99 7,719 7,037 -8.84
2017‑09‑30 13F-HR PEP / PepsiCo, Inc. 111.43 28,010 27,237 -2.76 3,235 3,035 -6.18
2017‑09‑30 13F-HR PSEC / Prospect Capital Corp. 6.73 16,819 17,836 6.05 137 120 -12.41
2017‑09‑30 13F-HR PRFZ / PowerShares FTSE RAFI US 1500 Small-Mid Portfolio 18.95 25,639 25,065 -2.24 490 475 -3.06
2017‑09‑30 13F-HR ORLY / O'Reilly Automotive, Inc. 215.41 10,032 2,161
2017‑09‑30 13F-HR GOOGL / Alphabet Inc. Class A 973.17 568 559 -1.58 528 544 3.03
2017‑09‑30 13F-HR FMB / First Trust Managed Municipal ETF 53.26 6,677 6,083 -8.90 352 324 -7.95
2017‑09‑30 13F-HR HCN / Welltower Inc. 70.30 5,961 5,263 -11.71 446 370 -17.04
2017‑09‑30 13F-HR FXE / CurrencyShares Euro Trust 114.04 7,331 836
2017‑09‑30 13F-HR DWDP / DowDuPont Inc. 69.23 83,824 5,803
2017‑09‑30 13F-HR FAM / First/Trust Aberdeen Global Opportunity Income Fund 51.11 86,093 78,634 -8.66 4,320 4,019 -6.97
2017‑09‑30 13F-HR FSIC / FS Investment Corporation 8.48 0 15,331 0 130
2017‑09‑30 13F-HR ANDV / Andeavor Corp. 103.16 23,139 2,387
2017‑09‑30 13F-HR GS FIN CORP / ETN CLAYMORE37 (362273104) 16.14 24,759 24,966 0.84 413 403 -2.42
2017‑09‑30 13F-HR ADI / Analog Devices, Inc. 86.19 23,751 2,047
2017‑09‑30 13F-HR DEO / Diageo plc 132.09 0 1,605 0 212
2017‑09‑30 13F-HR MDY / SPDR S&P Midcap 400 ETF 326.90 745 725 -2.68 237 237 0.00
2017‑09‑30 13F-HR MMD / MainStay DefinedTerm Municipal Opportunities Fund 20.09 21,710 23,447 8.00 427 471 10.30
2017‑09‑30 13F-HR MMM / 3M Co. 209.93 9,718 10,518 8.23 2,023 2,208 9.14
2017‑09‑30 13F-HR AOM / iShares Core Moderate Allocation ETF 37.94 12,259 13,838 12.88 457 525 14.88
2017‑09‑30 13F-HR EMR / Emerson Electric Co. 62.84 61,718 74,273 20.34 3,680 4,667 26.82
2017‑09‑30 13F-HR GOOG / Alphabet Inc. Class C 959.13 3,034 2,716 -10.48 2,757 2,605 -5.51
2017‑09‑30 13F-HR ED / Consolidated Edison, Inc. 80.67 61,104 70,022 14.59 4,938 5,649 14.40
2017‑09‑30 13F-HR GSBD / Goldman Sachs BDC, Inc. 22.82 11,550 12,050 4.33 260 275 5.77
2017‑09‑30 13F-HR KTF / Deutsche Municipal Income Trust 12.67 10,468 11,365 8.57 141 144 2.13
2017‑09‑30 13F-HR DTE / DTE Energy Co. 107.36 2,191 2,105 -3.93 232 226 -2.59
2017‑09‑30 13F-HR INTC / Intel Corp. 38.10 21,141 21,288 0.70 713 811 13.74
2017‑09‑30 13F-HR IEFA / iShares Core MSCI EAFE ETF 64.17 30,831 31,944 3.61 1,877 2,050 9.22
2017‑09‑30 13F-HR XLE / SPDR Energy Select Sector ETF 68.40 4,017 3,845 -4.28 261 263 0.77
2017‑09‑30 13F-HR UTX / United Technologies Corp. 116.10 2,575 18,561 620.82 314 2,155 586.31
2017‑09‑30 13F-HR FM / iShares MSCI Frontier 100 ETF 31.35 28,311 27,370 -3.32 809 858 6.06
2017‑09‑30 13F-HR VZ / Verizon Communications, Inc. 49.49 26,923 25,663 -4.68 1,202 1,270 5.66
2017‑09‑30 13F-HR F / Ford Motor Co. 11.97 74,737 71,119 -4.84 836 851 1.79
2017‑09‑30 13F-HR XLF / SPDR Financial Select Sector ETF 25.87 39,251 37,414 -4.68 968 968 0.00
2017‑09‑30 13F-HR XLV / SPDR Health Care Select Sector ETF 81.68 5,980 5,938 -0.70 474 485 2.32
2017‑09‑30 13F-HR KMB / Kimberly-Clark Corp. 117.72 6,817 7,076 3.80 880 833 -5.34
2017‑09‑30 13F-HR LQD / iShares iBoxx $ Investment Grade Corporate Bond ETF 121.23 74,598 74,388 -0.28 8,990 9,018 0.31
2017‑09‑30 13F-HR FIRST TR EXCH TRD ALPHA FD I / DEV MRK EX US (33737J174) 59.16 34,724 33,805 -2.65 1,918 2,000 4.28
2017‑09‑30 13F-HR EMM / SPDR Series Trust 57.06 7,544 7,799 3.38 429 445 3.73
2017‑09‑30 13F-HR NS / NuStar Energy L.P. 2,127 1,875 -11.85
2017‑09‑30 13F-HR ETN / Eaton Corporation 76.71 0 2,842 0 218
2017‑09‑30 13F-HR ABT / Abbott Laboratories 53.42 5,749 5,840 1.58 279 312 11.83
2017‑09‑30 13F-HR CLX / Clorox Company (The) 131.92 14,394 14,152 -1.68 1,918 1,867 -2.66
2017‑09‑30 13F-HR MSFT / Microsoft Corp. 74.49 65,178 72,759 11.63 4,493 5,420 20.63
2017‑09‑30 13F-HR EXC / Exelon Corp. 37.65 20,143 19,710 -2.15 727 742 2.06
2017‑09‑30 13F-HR EMLP / First Trust North American Energy Infrastructure Fund 24.82 17,925 13,740 -23.35 440 341 -22.50
2017‑09‑30 13F-HR MBTF / MBT Financial Corp. 10.96 0 21,357 0 234
2017‑09‑30 13F-HR ELG / SPDR Series Trust 126.48 2,434 2,443 0.37 290 309 6.55
2017‑09‑30 13F-HR VIG / Vanguard Dividend Appreciation ETF 94.78 44,713 49,408 10.50 4,144 4,683 13.01
2017‑09‑30 13F-HR FB / Facebook, Inc. 170.78 5,800 5,352 -7.72 876 914 4.34
2017‑09‑30 13F-HR X / United States Steel Corp. 25.66 24,168 24,742 2.38 535 635 18.69
2017‑09‑30 13F-HR IWF / iShares Russell 1000 Growth ETF 125.06 21,717 23,268 7.14 2,585 2,910 12.57
2017‑09‑30 13F-HR VNQI / Vanguard Global ex-U.S. Real Estate ETF 59.44 8,239 8,243 0.05 463 490 5.83
2017‑09‑30 13F-HR AMJ / JPMorgan Alerian MLP Index ETN due 5/24/2024 28.23 33,276 35,493 6.66 988 1,002 1.42
2017‑09‑30 13F-HR DUK / Duke Energy Corp. (Holding Co.) 83.93 33,919 39,142 15.40 2,835 3,285 15.87
2017‑09‑30 13F-HR VGK / Vanguard FTSE Europe ETF 58.34 31,978 24,390 -23.73 1,763 1,423 -19.29
2017‑09‑30 13F-HR TDIV / First Trust NASDAQ Technology Dividend Index Fund 32.39 23,274 25,346 8.90 726 821 13.09
2017‑09‑30 13F-HR VKQ / Invesco Van Kampen Municipal Trust, Inc. 12.77 22,072 24,669 11.77 283 315 11.31
2017‑09‑30 13F-HR MCD / McDonald's Corp. 156.68 32,107 33,304 3.73 4,918 5,218 6.10
2017‑09‑30 13F-HR FLOT / iShares Floating Rate Bond ETF 50.95 71,392 67,445 -5.53 3,635 3,436 -5.47
2017‑09‑30 13F-HR MO / Altria Group, Inc. 63.42 61,009 64,080 5.03 4,543 4,064 -10.54
2017‑09‑30 13F-HR GBX / Greenbrier Companies, Inc. (THE) 48.14 57,586 49,065 -14.80 2,663 2,362 -11.30
2017‑09‑30 13F-HR FIRST TR EXCHANGE TRADED FD / ENERGY ALPHADX (33734X127) 14.35 47,325 45,839 -3.14 630 658 4.44
2017‑09‑30 13F-HR SPHD / PowerShares S&P 500 High Dividend Portfolio 40.97 10,211 9,933 -2.72 411 407 -0.97
2017‑09‑30 13F-HR VOOV / Vanguard S&P 500 Value ETF 103.87 3,535 4,679 32.36 358 486 35.75
2017‑09‑30 13F-HR MRK / Merck & Co., Inc. 64.01 5,328 5,952 11.71 341 381 11.73
2017‑09‑30 13F-HR FCAU / Fiat Chrysler Automobiles N.V 17.94 0 13,544 0 243
2017‑09‑30 13F-HR ROYT / Pacific Coast Oil Trust 28 35 25.00
2017‑09‑30 13F-HR BSV / Vanguard Short-Term Bond ETF 79.81 55,745 56,907 2.08 4,451 4,542 2.04
2017‑09‑30 13F-HR HCP / HCP, Inc. 648 527 -18.67
2017‑09‑30 13F-HR MCK / McKesson Corp. 153.61 13,428 11,803 -12.10 2,210 1,813 -17.96
2017‑09‑30 13F-HR BMYMP / Bristol-Myers Squibb Co. 63.73 0 3,954 0 252
2017‑09‑30 13F-HR DRUA / Dominion Resources, Inc. 76.93 27,692 24,712 -10.76 2,122 1,901 -10.41
2017‑09‑30 13F-HR FEO / First Trust/Aberdeen Emerging Opportunity Fund 37.12 16,055 17,028 6.06 568 632 11.27
2017‑09‑30 13F-HR VTV / Vanguard Value ETF 99.83 37,063 40,158 8.35 3,579 4,009 12.01
2017‑09‑30 13F-HR OEF / iShares S&P 100 ETF 111.30 2,521 2,381 -5.55 269 265 -1.49
2017‑09‑30 13F-HR NKE / Nike, Inc. 51.82 4,387 4,361 -0.59 259 226 -12.74
2017‑09‑30 13F-HR DE / Deere & Co. 125.52 2,149 1,936 -9.91 266 243 -8.65
2017‑09‑30 13F-HR MMP / Magellan Midstream Partners, L.P. 408 395 -3.19
2017‑09‑30 13F-HR FIRST TR EXCHANGE TRADED FD / CAP STRENGTH ETF (33733E104) 47.35 7,283 7,286 0.04 332 345 3.92
2017‑09‑30 13F-HR FDN / First Trust Dow Jones Internet Index Fund 102.38 28,974 28,874 -0.35 2,745 2,956 7.69
2017‑09‑30 13F-HR STLD / Steel Dynamics, Inc. 34.47 30,165 30,174 0.03 1,080 1,040 -3.70
2017‑09‑30 13F-HR VCSH / Vanguard Short-Term Corporate Bond Index Fund 80.07 0 6,719 0 538
2017‑09‑30 13F-HR IVV / iShares Core S&P 500 ETF 252.93 62,368 63,394 1.65 15,181 16,034 5.62
2017‑09‑30 13F-HR LZB / La-Z-Boy, Inc. 26.90 116,451 116,451 0.00 3,785 3,133 -17.23
2017‑09‑30 13F-HR VYM / Vanguard High Dividend Yield ETF 81.09 9,091 29,031 219.34 711 2,354 231.08
2017‑09‑30 13F-HR BP / BP Plc 38.48 6,803 8,238 21.09 236 317 34.32
2017‑09‑30 13F-HR IWM / iShares Russell 2000 ETF 148.21 5,737 5,816 1.38 808 862 6.68
2017‑09‑30 13F-HR QTEC / First Trust NASDAQ-100 Technology Sector Index Fund 68.13 11,092 12,212 10.10 692 832 20.23
2017‑09‑30 13F-HR FDX / FedEx Corp. 225.50 1,796 1,796 0.00 390 405 3.85
2017‑09‑30 13F-HR BAC / Bank of America Corp. 25.33 61,984 60,946 -1.67 1,504 1,544 2.66
2017‑09‑30 13F-HR NVG / Nuveen Dividend Advantage Municipal Income Fund 235 277 17.87
2017‑09‑30 13F-HR ADP / Automatic Data Processing, Inc. 109.33 11,533 12,632 9.53 1,182 1,381 16.84
2017‑09‑30 13F-HR DIS / The Walt Disney Co. 98.58 38,601 35,210 -8.78 4,101 3,471 -15.36
2017‑09‑30 13F-HR IYJ / iShares U.S. Industrial ETF 138.51 6,542 5,949 -9.06 860 824 -4.19
2017‑09‑30 13F-HR DEM / WisdomTree Emerging Markets Equity Income Fund 43.03 7,032 7,645 8.72 288 329 14.24
2017‑09‑30 13F-HR PSK / SPDR Wells Fargo Preferred Stock ETF 44.70 13,786 12,999 -5.71 620 581 -6.29
2017‑09‑30 13F-HR COP / ConocoPhillips 50.05 46,766 47,209 0.95 2,056 2,363 14.93
2017‑09‑30 13F-HR KBWY / PowerShares KBW Premium Yield Equity REIT Portfolio 37.51 17,542 19,060 8.65 653 715 9.49
2017‑09‑30 13F-HR FXO / First Trust Financials AlphaDEX® Fund 29.69 20,870 21,890 4.89 597 650 8.88
2017‑09‑30 13F-HR MTU / Mitsubishi UFJ Financial Group, Inc. 6.42 11,347 25,386 123.72 77 163 111.69
2017‑09‑30 13F-HR VMBS / Vanguard Mortgage-Backed Securities Index Fund 52.77 10,029 12,204 21.69 528 644 21.97
2017‑09‑30 13F-HR EV / Eaton Vance Corp. 11.83 17,250 17,250 0.00 196 204 4.08
2017‑09‑30 13F-HR HYG / iShares iBoxx $ High Yield Corporate Bond ETF 88.73 14,205 10,661 -24.95 1,256 946 -24.68
2017‑09‑30 13F-HR AOK / iShares Core Conservative Allocation ETF 34.52 6,844 6,865 0.31 233 237 1.72
2017‑09‑30 13F-HR GLD / SPDR Gold Shares 121.59 8,137 11,185 37.46 960 1,360 41.67
2017‑09‑30 13F-HR HDV / iShares Core High Dividend ETF 85.97 34,382 18,808 -45.30 2,858 1,617 -43.42
2017‑09‑30 13F-HR CVRR / CVR Refining LP 357 410 14.85
2017‑09‑30 13F-HR CINF / Cincinnati Financial Corp. 76.55 20,754 22,259 7.25 1,504 1,704 13.30
2017‑09‑30 13F-HR VSS / Vanguard FTSE All-World ex US Small Cap Index Fund ETF 114.94 10,719 10,458 -2.43 1,159 1,202 3.71
2017‑09‑30 13F-HR SO / Southern Co. (The) 49.16 7,677 7,852 2.28 368 386 4.89
2017‑09‑30 13F-HR AMGN / Amgen Inc. 186.47 14,145 13,418 -5.14 2,436 2,502 2.71
2017‑09‑30 13F-HR POWERSHARES ETF TR II / EMER MRKT PORT (73936T763) 21.35 10,764 13,490 25.33 214 288 34.58
2017‑09‑30 13F-HR MA / MasterCard Incorporated 141.21 0 14,567 0 2,057
2017‑09‑30 13F-HR EMLC / VanEck Vectors ETF TR 22.96 0 50,228 0 1,153
2017‑09‑30 13F-HR BK / Bank of New York Mellon Corp. (The) 53.02 0 36,008 0 1,909
2017‑09‑30 13F-HR XOM / Exxon Mobil Corp. 81.99 24,176 34,237 41.62 1,952 2,807 43.80
2017‑09‑30 13F-HR KO / Coca Cola Co. 45.01 41,458 44,941 8.40 1,859 2,023 8.82
2017‑09‑30 13F-HR AXP / American Express Co. 90.47 26,208 23,158 -11.64 2,208 2,095 -5.12
2017‑09‑30 13F-HR ELR / SPDR Series Trust 27.97 37,317 34,786 -6.78 1,044 973 -6.80
2017‑09‑30 13F-HR AOA / iShares Core Aggressive Allocation ETF 53.58 109,377 113,520 3.79 5,665 6,082 7.36
2017‑09‑30 13F-HR FDL / First Trust Morningstar Dividend Leaders Fund 29.00 21,160 20,412 -3.53 595 592 -0.50
2017‑09‑30 13F-HR ETR / Entergy Corp. 76.33 6,824 7,848 15.01 524 599 14.31
2017‑09‑30 13F-HR UNP / Union Pacific Corp. 115.94 20,820 18,509 -11.10 2,267 2,146 -5.34
2017‑09‑30 13F-HR LLY / Eli Lilly & Co. 85.63 2,635 2,908 10.36 217 249 14.75
2017‑09‑30 13F-HR LOW / Lowe's Companies, Inc. 79.94 37,463 33,224 -11.32 2,905 2,656 -8.57
2017‑09‑30 13F-HR CMP / Compass Minerals Group, Inc. 64.89 31,296 27,695 -11.51 2,044 1,797 -12.08
2017‑09‑30 13F-HR IWC / iShares Micro-cap ETF 94.45 13,781 13,658 -0.89 1,226 1,290 5.22
2017‑09‑30 13F-HR NVS / Novartis AG 85.78 0 2,996 0 257
2017‑09‑30 13F-HR IYR / iShares U.S. Real Estate ETF 79.82 4,669 4,623 -0.99 372 369 -0.81
2017‑09‑30 13F-HR EMB / iShares JPMorgan USD Emerging Markets Bond Fund 116.44 13,152 8,966 -31.83 1,504 1,044 -30.59
2017‑09‑30 13F-HR VWOB / Vanguard Emerging Markets Government Bond ETF 81.16 18,263 18,494 1.26 1,463 1,501 2.60
2017‑09‑30 13F-HR IBM / International Business Machines Corp. 144.77 1,443 1,492 3.40 222 216 -2.70
2017‑09‑30 13F-HR TGT / Target Corp. 59.01 8,295 8,913 7.45 434 526 21.20
2017‑09‑30 13F-HR SHY / iShares 1-3 Year Treasury Bond ETF 84.44 0 20,558 0 1,736
2017‑09‑30 13F-HR GNR / SPDR S&P Global Natural Resources ETF 45.95 22,016 21,456 -2.54 914 986 7.88
2017‑09‑30 13F-HR GAZ / iPath Bloomberg Natural Gas Subindex Total Return ETN due 10/22/37 0.30 32,950 47,050 42.79 10 14 40.00
2017‑09‑30 13F-HR CERN / Cerner Corp. 71.32 35,452 31,140 -12.16 2,356 2,221 -5.73
2017‑09‑30 13F-HR V / Visa, Inc. 105.24 27,425 23,395 -14.69 2,572 2,462 -4.28
2017‑09‑30 13F-HR VO / Vanguard Mid-Cap ETF 147.02 8,977 10,665 18.80 1,279 1,568 22.60
2017‑09‑30 13F-HR BNDX / Vanguard Total International Bond ETF 54.62 6,764 8,275 22.34 368 452 22.83
2017‑09‑30 13F-HR NVDA / NVIDIA Corp. 178.73 5,485 5,651 3.03 793 1,010 27.36
2017‑09‑30 13F-HR SPY / SPDR S&P 500 ETF Trust 251.23 35,933 36,270 0.94 8,689 9,112 4.87
2017‑09‑30 13F-HR IYW / iShares U.S. Technology ETF 150.01 3,533 3,613 2.26 494 542 9.72
2017‑09‑30 13F-HR INSY / Insys Therapeutics Inc. 8.88 181,603 161,600 -11.01 2,297 1,435 -37.53
2017‑09‑30 13F-HR PFE / Pfizer, Inc. 35.69 36,004 58,584 62.72 1,209 2,091 72.95
2017‑09‑30 13F-HR ULSGF / UBS AG 21.96 0 9,381 0 206
2017‑09‑30 13F-HR UBNT / Ubiquiti Networks, Inc. 56.02 43,821 38,542 -12.05 2,277 2,159 -5.18
2017‑09‑30 13F-HR GE / General Electric Co. 24.18 172,312 188,351 9.31 4,654 4,554 -2.15
2017‑09‑30 13F-HR VWO / Vanguard FTSE Emerging Markets ETF 43.57 135,329 118,094 -12.74 5,525 5,145 -6.88
2017‑09‑30 13F-HR JPM / JPMorgan Chase & Co. 95.50 9,628 9,864 2.45 880 942 7.05
2017‑09‑30 13F-HR FTY / iShares Real Estate 50 ETF 49.24 12,109 12,692 4.81 596 625 4.87
2017‑09‑30 13F-HR AEP / American Electric Power Company, Inc. 70.23 29,681 40,181 35.38 2,062 2,822 36.86
2017‑09‑30 13F-HR VGSH / Vanguard Short-Term Government Bond Index Fund 60.71 3,514 3,871 10.16 214 235 9.81
2017‑09‑30 13F-HR AAPL / Apple, Inc. 154.11 38,019 36,908 -2.92 5,475 5,688 3.89
2017‑09‑30 13F-HR IJS / iShares S&P SmallCap 600 Value ETF 148.40 2,573 2,345 -8.86 360 348 -3.33
2017‑09‑30 13F-HR FXH / First Trust Health Care AlphaDEX Fund 67.44 8,832 8,882 0.57 591 599 1.35
2017‑09‑30 13F-HR BABA / Alibaba Group Holding Limited 172.76 0 1,696 0 293
2017‑09‑30 13F-HR MON / Monsanto Co. 119.83 20,749 17,992 -13.29 2,456 2,156 -12.21
2017‑09‑30 13F-HR AFL / AFLAC, Inc. 81.36 14,661 16,494 12.50 1,139 1,342 17.82
2017‑09‑30 13F-HR LEG / Leggett & Platt, Inc. 47.72 15,314 16,114 5.22 804 769 -4.35
2017‑09‑30 13F-HR WMT / Wal-Mart Stores, Inc. 78.12 15,848 16,999 7.26 1,199 1,328 10.76
2017‑09‑30 13F-HR AOR / iShares Core Growth Allocation ETF 44.83 78,126 88,602 13.41 3,407 3,972 16.58
2017‑09‑30 13F-HR PM / Philip Morris International, Inc. 111.14 3,563 3,680 3.28 419 409 -2.39
2017‑09‑30 13F-HR ABEV / Ambev S.A 6.57 13,224 26,774 102.47 73 176 141.10
2017‑09‑30 13F-HR JNJ / Johnson & Johnson 130.01 28,747 36,573 27.22 3,803 4,755 25.03
2017‑09‑30 13F-HR HBANO / Huntington Bancshares, Inc. 13.98 23,163 23,183 0.09 313 324 3.51
2017‑09‑30 13F-HR FEX / First Trust Large Capital Core AlphaDEX Fund 54.91 9,415 9,416 0.01 501 517 3.19
2017‑09‑30 13F-HR VOE / Vanguard Mid-Cap Value ETF 105.63 22,236 22,067 -0.76 2,287 2,331 1.92
2017‑09‑30 13F-HR IWO / iShares Russell 2000 Growth ETF 178.63 13,589 1,226 -90.98 2,293 219 -90.45
2017‑09‑30 13F-HR QQQ / PowerShares QQQ Trust 145.47 23,404 21,860 -6.60 3,221 3,180 -1.27
2017‑09‑30 13F-HR FYX / First Trust Small Cap Core AlphaDEX® Fund 58.98 44,027 44,423 0.90 2,448 2,620 7.03
2017‑09‑30 13F-HR HD / Home Depot, Inc. (The) 163.48 2,794 3,401 21.73 429 556 29.60
2017‑09‑30 13F-HR WM / Waste Management, Inc. 78.23 7,950 10,571 32.97 583 827 41.85
2017‑09‑30 13F-HR VBR / Vanguard Small-Cap Value ETF 127.78 4,784 4,672 -2.34 588 597 1.53
2017‑09‑30 13F-HR FXG / First Trust Consumer Staples AlphaDEX Fund 45.69 23,013 20,552 -10.69 1,059 939 -11.33
2017‑09‑30 13F-HR ILF / iShares Latin America 40 ETF 35.14 0 5,948 0 209
2017‑09‑30 13F-HR GILD / Gilead Sciences, Inc. 81.15 2,919 2,945 0.89 207 239 15.46
2017‑09‑30 13F-HR GGG / Graco Inc. 123.70 2,878 2,878 0.00 315 356 13.02
2017‑09‑30 13F-HR IYH / iShares U.S. Healthcare ETF 171.93 1,722 1,582 -8.13 286 272 -4.90
2017‑09‑30 13F-HR SIRI / Sirius XM Holdings Inc. 5.50 19,628 19,636 0.04 107 108 0.93
2017‑09‑30 13F-HR AMZN / Amazon.com, Inc. 961.97 537 631 17.50 520 607 16.73
2017‑09‑30 13F-HR VTI / Vanguard Total Stock Market Index Fund 129.52 17,243 16,430 -4.71 2,146 2,128 -0.84
2017‑09‑30 13F-HR NMM / Navios Maritime Partners L.P. 17 22 29.41
2017‑09‑30 13F-HR MU / Micron Technology, Inc. 39.27 0 5,500 0 216
2017‑09‑30 13F-HR SDIV / Global X SuperDividend ETF 22.01 31,659 33,985 7.35 686 748 9.04
2017‑09‑30 13F-HR EWX / SPDR S&P Emerging Markets Small Cap ETF 49.49 7,483 6,930 -7.39 349 343 -1.72
2017‑09‑30 13F-HR WFC / Wells Fargo & Co. 55.16 44,181 38,273 -13.37 2,448 2,111 -13.77
2017‑09‑30 13F-HR C / Citigroup, Inc. 72.75 3,958 4,880 23.29 265 355 33.96
2017‑09‑30 13F-HR RTN / Raytheon Co. 186.49 1,722 1,909 10.86 278 356 28.06
2017‑09‑30 13F-HR EFA / iShares MSCI EAFE ETF 68.49 15,338 21,740 41.74 1,000 1,489 48.90
2017‑09‑30 13F-HR BIDU / Baidu, Inc. 247.19 0 890 0 220
2017‑09‑30 13F-HR RLY / SPDR SSgA Multi-Asset Real Return ETF 25.14 58,547 63,835 9.03 1,405 1,605 14.23
2017‑09‑30 13F-HR DVY / iShares Select Dividend ETF 93.67 18,419 16,526 -10.28 1,698 1,548 -8.83
2017‑09‑30 13F-HR TLT / iShares 20+ Year Treasury Bond ETF 124.74 22,329 21,918 -1.84 2,794 2,734 -2.15
2017‑09‑30 13F-HR GM / General Motors Company 40.41 6,187 6,854 10.78 216 277 28.24
2017‑09‑30 13F-HR BA / Boeing Company (The) 254.42 1,449 2,260 55.97 286 575 101.05
2017‑09‑30 13F-HR FXU / First Trust Utilities AlphaDEX® Fund 27.01 24,793 26,548 7.08 674 717 6.38
2017‑09‑30 13F-HR FXD / First Trust Consumer Discretionary AlphaDEX Fund 38.47 14,022 10,710 -23.62 519 412 -20.62
2017‑09‑30 13F-HR BRK.B / Berkshire Hathaway, Inc. 183.32 18,635 16,436 -11.80 3,156 3,013 -4.53
2017‑09‑30 13F-HR VUG / Vanguard Growth ETF 132.76 39,713 39,147 -1.43 5,045 5,197 3.01
2017‑09‑30 13F-HR ERIC / Ericsson (L.M.) Telephone Co. 5.75 11,874 26,271 121.25 85 151 77.65
2017‑09‑30 13F-HR SCHV / Schwab U.S. Large-Cap Value ETF 51.86 9,318 8,986 -3.56 468 466 -0.43
2017‑09‑30 13F-HR AMLP / Alerian ETF 11.24 26,267 26,250 -0.06 314 295 -6.05
2017‑09‑30 13F-HR VXF / Vanguard Extended Market ETF 107.18 11,369 11,243 -1.11 1,163 1,205 3.61
2017‑09‑30 13F-HR IVW / iShares S&P 500 Growth ETF 143.45 3,436 5,040 46.68 470 723 53.83
2017‑09‑30 13F-HR BRF / VanEck Vectors ETF TR 25.25 14,239 15,167 6.52 352 383 8.81
2017‑09‑30 13F-HR MAIN / Main Street Capital Corp. 39.81 7,468 7,486 0.24 287 298 3.83
2017‑09‑30 13F-HR VB / Vanguard Small-Cap ETF 141.30 9,691 11,288 16.48 1,314 1,595 21.39
2017‑09‑30 13F-HR IJT / iShares S&P SmallCap 600 Growth ETF 164.58 2,787 2,880 3.34 435 474 8.97
2017‑09‑30 13F-HR T / AT & T, Inc. 39.17 138,964 160,540 15.53 5,243 6,288 19.93
2017‑09‑30 13F-HR IVE / iShares S&P 500 Value ETF 107.82 6,591 4,925 -25.28 692 531 -23.27
2017‑09‑30 13F-HR FV / First Trust Dorsey Wright Focus 5 ETF 26.17 79,922 80,141 0.27 1,984 2,097 5.70
2017‑09‑30 13F-HR UNH / UnitedHealth Group Inc. 196.00 0 1,301 0 255
2017‑09‑30 13F-HR BLK / BlackRock, Inc. 447.04 5,745 5,098 -11.26 2,427 2,279 -6.10
2017‑09‑30 13F-HR COST / Costco Wholesale Corp. 164.56 0 1,264 0 208
2017‑09‑30 13F-HR IJR / iShares Core S&P Small-Cap ETF 74.22 129,633 131,471 1.42 9,089 9,758 7.36
2017‑09‑30 13F-HR CSCO / Cisco Systems, Inc. 33.66 11,382 14,678 28.96 356 494 38.76
2017‑09‑30 13F-HR VNQ / Vanguard REIT ETF 83.10 42,996 44,225 2.86 3,579 3,675 2.68
2017‑09‑30 13F-HR IDV / iShares International Select Dividend ETF 10,657 0 -100.00 349 0 -100.00
2017‑09‑30 13F-HR WSM / Williams-Sonoma, Inc. 40,446 0 -100.00 1,962 0 -100.00
2017‑09‑30 13F-HR TSO / Tesoro Corp. 26,841 0 -100.00 2,512 0 -100.00
2017‑09‑30 13F-HR KRE / SPDR S&P Regional Banking ETF 4,696 0 -100.00 258 0 -100.00
2017‑09‑30 13F-HR MBB / iShares MBS ETF 4,783 0 -100.00 511 0 -100.00
2017‑09‑30 13F-HR IWP / iShares Russell Midcap Growth ETF 4,198 0 -100.00 454 0 -100.00
2017‑09‑30 13F-HR HBI / Hanesbrands, Inc. 82,820 0 -100.00 1,918 0 -100.00
2017‑09‑30 13F-HR JE / Just Energy Group, Inc. 11,700 0 -100.00 61 0 -100.00
2017‑09‑30 13F-HR GIS / General Mills, Inc. 4,110 0 -100.00 228 0 -100.00
2017‑09‑30 13F-HR DOW / Dow Chemical Co. (The) 74,062 0 -100.00 4,671 0 -100.00
2017‑09‑30 13F-HR IFXAF / Ishare FTSE/Xinhua A50 China Tracker (Hong Kong) 8,435 0 -100.00 264 0 -100.00
2017‑09‑30 13F-HR DD / Du Pont (E.I.) De Nemours & Co., Inc. 3,150 0 -100.00 254 0 -100.00
2017‑09‑30 13F-HR CPN / Calpine Corp. 176,232 0 -100.00 2,384 0 -100.00
2017‑09‑30 13F-HR CL / Colgate-Palmolive Co. 2,947 0 -100.00 218 0 -100.00
2017‑09‑30 13F-HR BKLN / PowerShares Senior Loan Portfolio 50,576 0 -100.00 1,170 0 -100.00
2017‑09‑30 13F-HR ABX / Barrick Gold Corp. 11,111 0 -100.00 177 0 -100.00
2017‑09‑30 13F-HR IWS / iShares Russell Mid-Cap Value ETF 2,594 0 -100.00 218 0 -100.00
2017‑09‑30 13F-HR FIRST TR EXCH TRADED FD III / RIVRFRNT DY ASIA (33739P509) 58.56 38,222 40,981 7.22 2,158 2,400 11.21
2017‑09‑30 13F-HR ISHARES TR / GLOB UTILITS ETF (464288711) 50.70 12,833 13,157 2.52 629 667 6.04
2017‑09‑30 13F-HR FAM / First/Trust Aberdeen Global Opportunity Income Fund 27.36 43,535 42,149 -3.18 1,018 1,153 13.26
2017‑09‑30 13F-HR FIRST TR EXCHNG TRADED FD VI / MUN CEF IN OPT (33740F508) 18.94 10,400 10,400 0.00 196 197 0.51
2017‑09‑30 13F-HR ISHARES TR / 3YRTB ETF (464288125) 83.93 8,849 9,305 5.15 726 781 7.58
2017‑09‑30 13F-HR FIRST TR EXCHANGE TRADED FD / FIRST TR TA HIYL (33738D408) 49.05 14,272 14,128 -1.01 702 693 -1.28
2017‑09‑30 13F-HR ISHARES INC / MSCI JPN ETF NEW (46434G822) 55.71 25,457 22,760 -10.59 1,366 1,268 -7.17
2017‑09‑30 13F-HR ISHARES TR / CORE S&P US VLU (464287663) 52.35 30,131 28,250 -6.24 1,535 1,479 -3.65