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 Dow Chemical Co. (The) (NYSE:DOW) , 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 November 08, 2017. 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 DWDP / DowDuPont Inc. 74,062 0 -100.00 4,671 0 -100.00
2017‑09‑30 13F-HR HBAN / Huntington Bancshares, Inc. 13.98 23,163 23,183 0.09 313 324 3.51
2017‑09‑30 13F-HR DBEF / db-X MSCI EAFE Currency-Hedged Equity Fund 31.06 9,368 9,368 0.00 281 291 3.56
2017‑09‑30 13F-HR FXR / First Trust Exchange-Traded AlphaDEX Fund 37.12 16,055 17,028 6.06 568 632 11.27
2017‑09‑30 13F-HR HYLS / First Trust Exchange-Traded Fund IV 49.05 14,272 14,128 -1.01 702 693 -1.28
2017‑09‑30 13F-HR PXH / PowerShares Exchange-Traded Fund Trust II 21.35 10,764 13,490 25.33 214 288 34.58
2017‑09‑30 13F-HR MORT / Market Vectors Mortgage REIT Income ETF 25.25 14,239 15,167 6.52 352 383 8.81
2017‑09‑30 13F-HR OUSA / O'Shares FTSE U.S. Quality Dividend ETF 30.24 7,574 229
2017‑09‑30 13F-HR KBWD / PowerShares KBW High Dividend Yield Financial Portfolio 24.06 13,908 15,044 8.17 338 362 7.10
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 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 UL / Unilever, PLC ADR 58.06 0 3,617 0 210
2017‑09‑30 13F-HR UA / Under Armour, Inc., Class C 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 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 SHM / SPDR Nuveen Barclays Short Term Municipal Bond ETF 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 QID / ProShares UltraShort QQQ 15.43 17,689 273
2017‑09‑30 13F-HR RFEU / First Tr Exchange Traded FD III 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 RFDI / First Tr Exchange Traded FD III 63.06 42,595 46,622 9.45 2,562 2,940 14.75
2017‑09‑30 13F-HR REM / iShares Mortgage Real Estate Capped ETF 46.84 27,291 21,266 -22.08 1,266 996 -21.33
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 RFEM / First Tr Exchange Traded FD III 67.11 36,829 39,724 7.86 2,293 2,666 16.27
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 PBP / Powershares Global Exchange Traded Fund Trust 3 22.24 30,241 30,798 1.84 672 685 1.93
2017‑09‑30 13F-HR RSX / VanEck Vectors ETF TR 22.29 0 34,000 0 758
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 PGF / PowerShares Exchange-Trade Fund Trust 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. 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 DOW / Dow Chemical Co. (The) 69.23 83,824 5,803
2017‑09‑30 13F-HR FTA / First Trust Large Capital Value Opportunities AlphaDEX 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 FDT / First Trust Developed Markets Ex-US AlphaDEX Fund 59.16 34,724 33,805 -2.65 1,918 2,000 4.28
2017‑09‑30 13F-HR HYMB / SPDR Nuveen S&P High Yield Municipal Bond ETF 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 SLYV / SPDR S&P 600 Small CapValue ETF 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 FXN / First Trust Exchange-Traded AlphaDEX Fund 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 BMY / Bristol-Myers Squibb Co. 63.73 0 3,954 0 252
2017‑09‑30 13F-HR D / Dominion Resources, Inc. 76.93 27,692 24,712 -10.76 2,122 1,901 -10.41
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 FTCS / First Trust Exchange-Traded Fund 47.35 7,283 7,286 0.04 332 345 3.92
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 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 GDX / VanEck Vectors Gold Miners ETF 22.96 0 50,228 0 1,153
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 MA / MasterCard Incorporated 141.21 0 14,567 0 2,057
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 SJNK / SPDR Shrt Trm High Yield Bnd ETF 27.97 37,317 34,786 -6.78 1,044 973 -6.80
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 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 USRT / iShares Core U.S. REIT ETF 49.24 12,109 12,692 4.81 596 625 4.87
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 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 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 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 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 ANDV / Andeavor Corp. 26,841 0 -100.00 2,512 0 -100.00
2017‑09‑30 13F-HR DGRO / iShares Core Dividend Growth ETF 8,435 0 -100.00 264 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 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 RFAP / First Tr Exchange Traded FD III 58.56 38,222 40,981 7.22 2,158 2,400 11.21
2017‑09‑30 13F-HR FEM / First Trust Emerging Markets AlphaDEX Fund 27.36 43,535 42,149 -3.18 1,018 1,153 13.26
2017‑09‑30 13F-HR MCEF / First Tr Exchange-Traded Fd VII 18.94 10,400 10,400 0.00 196 197 0.51
2017‑09‑30 13F-HR ISHG / iShares -3 Year International Treasury Bond ETF 83.93 8,849 9,305 5.15 726 781 7.58
2017‑09‑30 13F-HR JXI / iShares S&P Global Utilities Sector Index Fund 50.70 12,833 13,157 2.52 629 667 6.04
2017‑09‑30 13F-HR IUSV / iShares Core Russell U.S. Value 52.35 30,131 28,250 -6.24 1,535 1,479 -3.65
2017‑09‑30 13F-HR EWJ / iShares MSCI Japan ETF 55.71 25,457 22,760 -10.59 1,366 1,268 -7.17