MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE O

0001606587-14-000171.txt : 20140804 0001606587-14-000171.hdr.sgml : 20140804 20140804143159 ACCESSION NUMBER: 0001606587-14-000171 CONFORMED SUBMISSION TYPE: 13F-HR CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140804 DATE AS OF CHANGE: 20140804 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Regal Investment Advisors LLC CENTRAL INDEX KEY: 0001559789 IRS NUMBER: 223844414 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15474 BUSINESS ADDRESS: STREET 1: 2687 44TH STREET SE CITY: KENTWOOD STATE: MI ZIP: 49512 BUSINESS PHONE: 616-224-2204 MAIL ADDRESS: STREET 1: 2687 44TH STREET SE CITY: KENTWOOD STATE: MI ZIP: 49512 FORMER COMPANY: FORMER CONFORMED NAME: Regal Investment Advisors, LLC DATE OF NAME CHANGE: 20121005 13F-HR 1 primary_doc.xml 13F-HR LIVE true false true 0001559789 XXXXXXXX 028-15474 06-30-2014 06-30-2014 false Regal Investment Advisors LLC

2687 44th Street SE Kentwood MI 49512

13F HOLDINGS REPORT 028-15474 N Brian Yarch MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE O 616-224-2204 Brian Yarch Kentwood MI 07-22-2014 0 916 280769383 true INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE DEUTSCHE BANK AG NAMEN AKT D18190898 66561 1892 SH DFND NONE 0 1892 0 ACCENTURE PLC SHS CLA NEW SHS CLASS A G1151C101 51495 637 SH DFND NONE 0 637 0 BROOKFIELD PPTY PARTNERS L PUN UNIT LTD PARTN G16249107 1190 57 SH DFND NONE 0 57 0 BROOKFIELD INFRASTRUCTURE PART LP INT UNIT G16252101 4631 111 SH DFND NONE 0 111 0 COVIDIEN LTD SHS G2554F113 23988 266 SH DFND NONE 0 266 0 EATON CORP SHS G29183103 102804 1332 SH DFND NONE 0 1332 0 ENSCO INTERNATIONAL PLC SPON A SHS CLASS A G3157S106 75020 1350 SH DFND NONE 0 1350 0 FRONTLINE LTD SHS G3682E127 2219 760 SH DFND NONE 0 760 0 ICON PLC SHS SHS G4705A100 59830 1270 SH DFND NONE 0 1270 0 INGERSOLL RAND LTD A SHS G47791101 1250 20 SH DFND NONE 0 20 0 JAZZ PHARMACEUTICALS, INC. SHS USD G50871105 35282 240 SH DFND NONE 0 240 0 MALLINCKRODT PUB LTD CO SHS SHS G5785G107 400 5 SH DFND NONE 0 5 0 NAM TAI PPTY INC SHS SHS G63907102 1433 190 SH DFND NONE 0 190 0 PENTAIR PLC SHS SHS G7S00T104 577 8 SH DFND NONE 0 8 0 SEAGATE TECHNOLOGY SHS G7945M107 28410 500 SH DFND NONE 0 500 0 SHIP FINANCE INTERNATIONAL LTD SHS G81075106 2231 120 SH DFND NONE 0 120 0 TRANSATLANTIC PETROLEUM LTD SH SHS NEW G89982113 39717 3487 SH DFND NONE 0 3487 0 PERRIGO CO PCL SHS SHS G97822103 1458 10 SH DFND NONE 0 10 0 TE CONNECTIVITY LTD REG SHS H84989104 4143 67 SH DFND NONE 0 67 0 TRANSOCEAN LTD. 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NONE 0 2000 0 FIRST TRUST CONSUMER STAPPLES CONSUMR STAPLE 33734X119 1975890 49633 SH DFND NONE 0 49633 0 FIRST TRUST ENERGY ALPHADEX ENERGY ALPHADX 33734X127 1391657 47502 SH DFND NONE 0 47502 0 FIRST TRUST FINANCIALS ALPHADE FINLS ALPHADEX 33734X135 424387 19065 SH DFND NONE 0 19065 0 FIRST TRUST HEALTH CARE ALPHAD HLTH CARE ALPH 33734X143 877197 16467 SH DFND NONE 0 16467 0 FIRST TRUST INDUST/PRODUCER DU INDLS PROD DUR 33734X150 1777299 58253 SH DFND NONE 0 58253 0 FIRST TRUST ETF II MATERIALS A MATERIALS ALPH 33734X168 582531 17058 SH DFND NONE 0 17058 0 FIRST TRUST TECHNOLOGY ALPHADE TECH ALPHADEX 33734X176 708838 21797 SH DFND NONE 0 21797 0 FIRST TRUST UTILITIES ALPHADEX UTILITIES ALPH 33734X184 1645219 68953 SH DFND NONE 0 68953 0 FIRST TRUST DJ SGIF DJ GLBL DIVID 33734X200 963543 33032 SH DFND NONE 0 33032 0 FT SM CP COR AD COM SHS 33734Y109 63869 1300 SH DFND NONE 0 1300 0 RST TRUST MID CAP CORE ALPHADE COM SHS 33735B108 10690 200 SH DFND NONE 0 200 0 FIRST TR EXCH TRD ALPHA FD IDE DEV MRK EX US 33737J174 483786 9116 SH DFND NONE 0 9116 0 FIRST TR EXCH TRD ALPHA FD IEM EMERG MKT ALPH 33737J182 20144 800 SH DFND NONE 0 800 0 FIRST TR EXCHANGE TRADED FD NO NO AMER ENERGY 33738D101 696023 25750 SH DFND NONE 0 25750 0 FIRST TR EXCHANGE TRADED FD FI FIRST TR TA HIYL 33738D408 23702 450 SH DFND NONE 0 450 0 FIRST TR EXCHANGE TRADED FD NA NASD TECH DIV 33738R118 567546 21433 SH DFND NONE 0 21433 0 FIRST TR EXCHANGE TRADED FD DO DORSEY WRT 5 ETF 33738R605 67422 3400 SH DFND NONE 0 3400 0 FIRST TR EXCHAN TRADED FD VIFS FST TR GLB FD 33739H101 30402 900 SH DFND NONE 0 900 0 GS FIN CORP ETN CLAYMORE37 ETN CLAYMORE37 362273104 1230069 64166 SH DFND NONE 0 64166 0 HQ LIFE SCIENCES IND SH BEN INT 404053100 19328 931 SH DFND NONE 0 931 0 ISHARES SILVER TRUST ISHARES 46428Q109 32522 1606 SH DFND NONE 0 1606 0 ISHARES GOLD TRUST ISHARES 464285105 20350 1580 SH DFND NONE 0 1580 0 ISHARES ASIA/PAC DIV E ASIA/PAC DIV ETF 464286293 59717 1025 SH DFND NONE 0 1025 0 ISHARES INC EMRGMKT DIVIDX EM MKTS DIV ETF 464286319 25308 520 SH DFND NONE 0 520 0 ISHARES MSCI BRAZIL MSCI BRZ CAP ETF 464286400 37268 780 SH DFND NONE 0 780 0 ISHARES INC MSCI CDA INDEX MSCI CDA ETF 464286509 9405 292 SH DFND NONE 0 292 0 ISHARES INC MSCI PACIFIC EX MSCI PAC JP ETF 464286665 190351 3865 SH DFND NONE 0 3865 0 ISHARES INC MSCI SINGAPORE MSCI SINGAP ETF 464286673 240818 17812 SH DFND NONE 0 17812 0 ISHARES MSCI TURKEY MSCI TURKEY ETF 464286715 31114 560 SH DFND NONE 0 560 0 ISHARES INC MSCI TAIWAN IND MSCI TAIWAN ETF 464286731 251805 15937 SH DFND NONE 0 15937 0 ISHARE MSCI SWITZRLD MSCI SZ CAP ETF 464286749 274251 7991 SH DFND NONE 0 7991 0 ISHARE MSCI SPAIN IN MSCI SPAN CP ETF 464286764 195131 4557 SH DFND NONE 0 4557 0 ISHARES MSCI JAPAN IND FD MSCI JAPAN ETF 464286848 16254 1350 SH DFND NONE 0 1350 0 ISHARES INC MSCI HONG KONG MSCI HONG KG ETF 464286871 50885 2437 SH DFND NONE 0 2437 0 ISHARES MRNGST LRG C MRNGSTR LG-CP ET 464287127 114989 1010 SH DFND NONE 0 1010 0 ISHARES TR S&P 1500 INDEX CORE S&P TTL STK 464287150 80748 901 SH DFND NONE 0 901 0 ISHARES TR DOW JONES SELECT DI SELECT DIVID ETF 464287168 1121291 14566 SH DFND NONE 0 14566 0 ISHARES TR FTSE XINHAU HK CHIN CHINA LG-CAP ETF 464287184 69302 1871 SH DFND NONE 0 1871 0 ISHARES DJ TRANS AVG TRANS AVG ETF 464287192 100555 684 SH DFND NONE 0 684 0 ISHARES S&P 500 CORE S&P500 ETF 464287200 5103679 25907 SH DFND NONE 0 25907 0 ISHARES TR INDEX FUND MSCI EME MSCI EMG MKT ETF 464287234 5551726 128423 SH DFND NONE 0 128423 0 ISHARES S&P GL TELEC GLOB TELECOM ETF 464287275 18098 287 SH DFND NONE 0 287 0 ISHARES TR INDEX FUND S&P 500/ S&P 500 GRWT ETF 464287309 525529 4996 SH DFND NONE 0 4996 0 ISHARES GOLDMAN SACHS NATURAL NA NAT RES 464287374 39910 799 SH DFND NONE 0 799 0 ISHARES TR INDEX FUND S&P 500/ S&P 500 VAL ETF 464287408 402378 4457 SH DFND NONE 0 4457 0 ISHARES MSCI EAFE INDEX FUND MSCI EAFE ETF 464287465 2121043 31023 SH DFND NONE 0 31023 0 ISHARES TR RUSSELL MIDCAP VALU RUS MDCP VAL ETF 464287473 35869 494 SH DFND NONE 0 494 0 ISHARES TR RUSSELL MIDCAP GROW RUS MD CP GR ETF 464287481 191300 2136 SH DFND NONE 0 2136 0 ISHARES S&P MIDCAP 400 INDEX CORE S&P MCP ETF 464287507 586056 4096 SH DFND NONE 0 4096 0 ISHARES TR INDEX FUND NSDQ BIO NASDQ BIOTEC ETF 464287556 244436 951 SH DFND NONE 0 951 0 ISHARES TRUST COHEN & STEERS R COHEN&STEER REIT 464287564 4367 50 SH DFND NONE 0 50 0 ISHARES TR RUSSELL 1000 VALUE RUS 1000 VAL ETF 464287598 451259 4456 SH DFND NONE 0 4456 0 ISHARES S&P MIDCAP 400 GROWTH S&P MC 400GR ETF 464287606 164306 1046 SH DFND NONE 0 1046 0 ISHARES TR RUSSELL 1000 GROWTH RUS 1000 GRW ETF 464287614 2460475 27059 SH DFND NONE 0 27059 0 ISHARES TR RUSSELL 1000 INDEX RUS 1000 ETF 464287622 256006 2325 SH DFND NONE 0 2325 0 ISHARES TR RUSSELL 2000 GROWTH RUS 2000 GRW ETF 464287648 82083 593 SH DFND NONE 0 593 0 ISHARES TR INDEX FUND RUSSL 20 RUSSELL 2000 ETF 464287655 1817318 15296 SH DFND NONE 0 15296 0 ISHARES TR RUSSELL 3000 GROWTH RUS 3000 GRW ETF 464287671 35340 475 SH DFND NONE 0 475 0 ISHARES TR INDEX FUND RUSSL 30 RUSSELL 3000 ETF 464287689 375237 3187 SH DFND NONE 0 3187 0 ISHARES TR DOW JONES U S UTILS U.S. UTILITS ETF 464287697 33856 304 SH DFND NONE 0 304 0 ISHARES TR INDEX FUND S&P MDCP S&P MC 400VL ETF 464287705 275289 2169 SH DFND NONE 0 2169 0 ISHARES TR DOW JONES US TECHNO U.S. TECH ETF 464287721 820380 8468 SH DFND NONE 0 8468 0 ISHARES TR INDEX FUND DJUS RLE U.S. REAL ES ETF 464287739 168204 2343 SH DFND NONE 0 2343 0 ISHARES DOW JONES US INDUSTRIA U.S. INDS ETF 464287754 58638 566 SH DFND NONE 0 566 0 ISHARES TR DOW JONES U S HEALT US HLTHCARE ETF 464287762 951318 7420 SH DFND NONE 0 7420 0 ISHARES TR DOW JONES US FINL S U.S. FINLS ETF 464287788 79898 961 SH DFND NONE 0 961 0 ISHARES TR DOW JONES U S ENERG U.S. ENERGY ETF 464287796 213454 3758 SH DFND NONE 0 3758 0 ISHARES S&P SMALLCAP 600 CORE S&P SCP ETF 464287804 1001524 8935 SH DFND NONE 0 8935 0 ISHARES DOW JONES U S CONSUMER U.S. CNSM GD ETF 464287812 9434 95 SH DFND NONE 0 95 0 ISHARES TR DOW JONES U S BASIC U.S. BAS MTL ETF 464287838 52693 602 SH DFND NONE 0 602 0 ISHARES DJ US TOTAL MARKET DOW JONES US ETF 464287846 29739 300 SH DFND NONE 0 300 0 ISHARES TR INDEX FUND S&P SCP SP SMCP600VL ETF 464287879 192768 1670 SH DFND NONE 0 1670 0 ISHARES S&P SMALLCAP 600 GROWT SP SMCP600GR ETF 464287887 104242 863 SH DFND NONE 0 863 0 ISHARES MSCI EAFE SM EAFE SML CP ETF 464288273 606992 11470 SH DFND NONE 0 11470 0 ISHARES S&P GLOBAL INFRASTRUCT GLB INFRASTR ETF 464288372 213006 4805 SH DFND NONE 0 4805 0 ISHARES S&P ASIA 50 ASIA 50 ETF 464288430 51869 1075 SH DFND NONE 0 1075 0 ISHARES DOW JONES EPAC SELECT INTL SEL DIV ETF 464288448 1772672 44439 SH DFND NONE 0 44439 0 ISHARES FTSE EPRA/NAREIT GLBL INTL DEV RE ETF 464288489 3213 100 SH DFND NONE 0 100 0 ISHARES TR REAL EST 50 IN REAL EST 50 ETF 464288521 371989 8526 SH DFND NONE 0 8526 0 ISHARES S&P GLOBAL GLOBAL MATER ETF 464288695 12904 200 SH DFND NONE 0 200 0 ISHARES S&P GLOBAL GLOB UTILITS ETF 464288711 624096 12405 SH DFND NONE 0 12405 0 ISHARES TR GLB CNS DISC E GLB CNS DISC ETF 464288745 841 10 SH DFND NONE 0 10 0 ISHARES DJ US RBIF US REGNL BKS ETF 464288778 5198 150 SH DFND NONE 0 150 0 ISHARES DJ US MDIF U.S. MED DVC ETF 464288810 35095 344 SH DFND NONE 0 344 0 ISHARES MSCI EAFE VALUE INDEX EAFE VALUE ETF 464288877 15287 261 SH DFND NONE 0 261 0 ISHARES MSCI EAFE GROWTH INDEX EAFE GRWTH ETF 464288885 140481 1939 SH DFND NONE 0 1939 0 ISHARES S&P AGGRESSIVE ALLOCAT AGGRES ALLOC ETF 464289859 28314 600 SH DFND NONE 0 600 0 ISHARES S&P MODERATE ALLOCATIO MODERT ALLOC ETF 464289875 1250 35 SH DFND NONE 0 35 0 ISHARES MSCI INDONESIA INVESTA MSCI INDONIA ETF 46429B309 1583 60 SH DFND NONE 0 60 0 ISHARES HIGH DIVIDEND EQUITY F HIGH DIVIDND ETF 46429B663 800632 10620 SH DFND NONE 0 10620 0 ISHARES TR BRC 0-5 YR TIP 0-5 YR TIPS ETF 46429B747 98698 963 SH DFND NONE 0 963 0 ISHARES TR CORE MSCI EAFE CORE MSCI EAFE 46432F842 584276 9392 SH DFND NONE 0 9392 0 ISHARES TR CORE STRM USBD CORE ST USDB ETF 46432F859 14479 144 SH DFND NONE 0 144 0 ISHARES INC CORE MSCI EMKT CORE MSCI EMKT 46434G103 148741 2877 SH DFND NONE 0 2877 0 JPMORGAN CHASE & CO US JPM ALE ALERIAN ML ETN 46625H365 2316348 44222 SH DFND NONE 0 44222 0 MKT VECT GOLD MNRS GOLD MINER ETF 57060U100 30629 1158 SH DFND NONE 0 1158 0 MARKET VECTORS ETF TR OIL SVCS OIL SVCS ETF 57060U191 45573 789 SH DFND NONE 0 789 0 MKT VCTR RUSSIA SBI RUSSIA ETF 57060U506 53002 2013 SH DFND NONE 0 2013 0 MARKET VECTORS AGRIBUSINESS ET AGRIBUS ETF 57060U605 97478 1772 SH DFND NONE 0 1772 0 MARKET VECTORS ETF TR MINOR ME MINOR METALS 57061R536 5064 143 SH DFND NONE 0 143 0 NUVEEN QUALITY PFD INCOME FDCO COM 67072C105 8579 950 SH DFND NONE 0 950 0 PIMCO ETF TR 0-5 HIGH YIELD 0-5 HIGH YIELD 72201R783 79511 744 SH DFND NONE 0 744 0 PIMCO ENHANCED SHORT MATURITY ENHAN SHRT MAT 72201R833 92477 912 SH DFND NONE 0 912 0 POWERSHARES QQQ TRUST, SERIES UNIT SER 1 73935A104 774476 8247 SH DFND NONE 0 8247 0 POWERSHARES DB COMMODITY INDEX UNIT BEN INT 73935S105 1581457 59498 SH DFND NONE 0 59498 0 POWERSHARES DWA TECHNICAL LEAD DWA MOMENTUM PTF 73935X153 7412 190 SH DFND NONE 0 190 0 PWRSHARD LISTED PRIV GBL LSTD PVT EQT 73935X195 398876 32350 SH DFND NONE 0 32350 0 PELICAN FINANCIAL INC FINL SECT PORT 73935X377 2921 100 SH DFND NONE 0 100 0 POWERSHARES DYNAMIC ENERGY ENERGY SEC POR 73935X385 5217 80 SH DFND NONE 0 80 0 POWERSHARES ETF TRUST DYNAM MI FND PUR MIDCR PT 73935X443 12769 335 SH DFND NONE 0 335 0 POWERSHARES ETF TRUST DYNAM LR FND PUR LRGCR PT 73935X450 29237 760 SH DFND NONE 0 760 0 POWERSHARES ETF TRUST FTSE US1 FTSE US1500 SM 73935X567 11699 116 SH DFND NONE 0 116 0 PS FTSE RAFI US 1000 FTSE RAFI 1000 73935X583 124524 1408 SH DFND NONE 0 1408 0 POWERSHARES DYNAMIC DYN UTIL PORTF 73935X591 6414 275 SH DFND NONE 0 275 0 POWERSHARES ETF TRUST DYN BLDG DYN BLDG CNSTR 73935X666 66878 2999 SH DFND NONE 0 2999 0 POWERSHARES S&P 500 HIGH QUALI S&P 500 HGH QLTY 73935X682 82196 3832 SH DFND NONE 0 3832 0 POWERSHARES DYNAMIC LARGE CAP DYNM LRG CP VL 73935X708 12128 400 SH DFND NONE 0 400 0 POWERSHARES DIVIDEND ACHIEVERS DIV ACHV PRTF 73935X732 13657 650 SH DFND NONE 0 650 0 PWRSHRS DYN PHARMA DYN PHRMA PORT 73935X799 101210 1657 SH DFND NONE 0 1657 0 POWERSHARES DB AGRICULTURE PS DB AGRICUL FD 73936B408 15240 555 SH DFND NONE 0 555 0 POWERSHARES DB US DOLLAR INDEX DOLL INDX BULL 73936D107 82319 3872 SH DFND NONE 0 3872 0 POWERSHARES GLOBAL ETF FD S&P S&P 500 BUYWRT 73936G308 481853 22527 SH DFND NONE 0 22527 0 POWERSHARES DWA EMER DWA EMKT MOM PTF 73936Q207 1397 75 SH DFND NONE 0 75 0 POWERSHARES II PFD AGG PFD PORT 73936T565 13299 909 SH DFND NONE 0 909 0 POWERSHARES S&P 500 LOW VOLATI S&P500 LOW VOL 73937B779 188805 5305 SH DFND NONE 0 5305 0 ULTRA S&P500 PROSHARES PSHS ULT S&P 500 74347R107 40523 350 SH DFND NONE 0 350 0 PROSHARES TR PSHS LC COR PL PSHS LC COR PLUS 74347R248 77528 816 SH DFND NONE 0 816 0 PROSHARES ULTR MC400 PSHS ULT MCAP400 74347R404 35980 500 SH DFND NONE 0 500 0 PROSHARES SHORT S&P 500 INDEX PSHS SHRT S&P500 74347R503 36325 1555 SH DFND NONE 0 1555 0 PROSHARES TR II SHT VIX ST TRM SHT VIX ST TRM 74347W627 6620 75 SH DFND NONE 0 75 0 ULTRA FINANCIALS PROSHARES ULTRA FNCLS NEW 74347X633 4435 35 SH DFND NONE 0 35 0 PROSHARES TR S&P 500 ARISTO S&P 500 ARISTO 74348A467 58317 1265 SH DFND NONE 0 1265 0 RYDEX ETF TR S&P500 EQL WEIG GUG S&P500 EQ WT 78355W106 19331 252 SH DFND NONE 0 252 0 S&P DEP RCPTS/SPDRS TRUST TR UNIT 78462F103 2556103 13060 SH DFND NONE 0 13060 0 SPDR GOLD SHARES GOLD SHS 78463V107 658894 5146 SH DFND NONE 0 5146 0 STRK SPDR S&P CH ETF S&P CHINA ETF 78463X400 8577 114 SH DFND NONE 0 114 0 SPDR DOW JONES GLOBAL REAL EST DJ GLB RL ES ETF 78463X749 68109 1460 SH DFND NONE 0 1460 0 SPDR DJ WILSHIRE INTERNATIONAL DJ INTL RL ETF 78463X863 51672 1168 SH DFND NONE 0 1168 0 SPDR SERIES TRUST WELLS FG PFD WELLS FG PFD ETF 78464A292 2390099 54756 SH DFND NONE 0 54756 0 DJ WILSHIRE REIT ETF DJ REIT ETF 78464A607 47144 568 SH DFND NONE 0 568 0 SPDR S&P PHARMACEUTICALS S&P PHARMAC 78464A722 74736 720 SH DFND NONE 0 720 0 SPDR S&P OIL & GAS EXPLORATION S&P OILGAS EXP 78464A730 8310 101 SH DFND NONE 0 101 0 SPDR S&P DIVIDEND ETF S&P DIVID ETF 78464A763 498831 6513 SH DFND NONE 0 6513 0 SPDR DJ WILSHIRE TOTAL MARKET RUSSELL 3000 ETF 78464A805 162635 1100 SH DFND NONE 0 1100 0 SPDR DOW JONES INDUSTRIAL AVER UT SER 1 78467X109 126253 752 SH DFND NONE 0 752 0 S & P MIDCAP 400 DEP RCPT UT S UTSER1 S&PDCRP 78467Y107 366608 1407 SH DFND NONE 0 1407 0 SCHWAB INTERNATIONAL EQUITY ET INTL EQTY ETF 808524805 37696 1143 SH DFND NONE 0 1143 0 SECTOR SPDR - MATERIALS SBI MATERIALS 81369Y100 1436333 28935 SH DFND NONE 0 28935 0 SECTOR SPDR - HEALTH FUND SBI HEALTHCARE 81369Y209 540475 8885 SH DFND NONE 0 8885 0 SECTOR SPDR - CONSUMER STAPLES SBI CONS STPLS 81369Y308 83306 1867 SH DFND NONE 0 1867 0 SECTOR SPDR - CONSUMER DISCRET SBI CONS DISCR 81369Y407 61267 918 SH DFND NONE 0 918 0 ENERGY SELECT SECTOR SPDR SBI INT-ENERGY 81369Y506 280080 2798 SH DFND NONE 0 2798 0 SECTOR SPDR TR SBI FINANCIAL SBI INT-FINL 81369Y605 1912821 84117 SH DFND NONE 0 84117 0 SECTOR SPDR - INDUSTRIAL SBI INT-INDS 81369Y704 4109 76 SH DFND NONE 0 76 0 SECTOR SPDR - TECHNOLOGY TECHNOLOGY 81369Y803 484629 12637 SH DFND NONE 0 12637 0 UTILITIES SELECT SECTOR SPDR SBI INT-UTILS 81369Y886 147165 3325 SH DFND NONE 0 3325 0 ROGERS INTERNATIONAL COMMODITY ROG AGRI ETN22 870297603 1712 208 SH DFND NONE 0 208 0 U.S. OIL FUND ETF UNITS 91232N108 611466 15727 SH DFND NONE 0 15727 0 VANGUARD DIVIDEND APPRECIATION DIV APP ETF 921908844 161201 2068 SH DFND NONE 0 2068 0 VANGUARD STAR FD VG TL INTL ST VG TL INTL STK F 921909768 11672 215 SH DFND NONE 0 215 0 VANGUARD MEGACAP 300 MEGA CAP INDEX 921910873 48665 727 SH DFND NONE 0 727 0 VANGUARD EUR PAC ETF FTSE DEV MKT ETF 921943858 2645819 62123 SH DFND NONE 0 62123 0 VANGUARD HIGH DIVIDE HIGH DIV YLD 921946406 3421854 51600 SH DFND NONE 0 51600 0 VANGUARD CONSUMER STAPLES VIPE CONSUM STP ETF 92204A207 303385 2619 SH DFND NONE 0 2619 0 VANGUARD ENERGY VIPERS ENERGY ETF 92204A306 149574 1039 SH DFND NONE 0 1039 0 VANGUARD HLTH CR ETF HEALTH CAR ETF 92204A504 22326 200 SH DFND NONE 0 200 0 VANGUARD MTRL ETF MATERIALS ETF 92204A801 44033 394 SH DFND NONE 0 394 0 VANGUARD UTILITIES ETF UTILITIES ETF 92204A876 88285 913 SH DFND NONE 0 913 0 VANGUARD FTSE ETF FTSE SMCAP ETF 922042718 35571 320 SH DFND NONE 0 320 0 VANGUARD FTSE ALL-WORLD EX-US ALLWRLD EX US 922042775 114724 2194 SH DFND NONE 0 2194 0 VANGUARD EMERGING MARKETS VIPE FTSE EMR MKT ETF 922042858 248774 5768 SH DFND NONE 0 5768 0 VANGRD PACIFIC STOCK INDEX VIP FTSE PACIFIC ETF 922042866 27448 441 SH DFND NONE 0 441 0 VANGRD EUROPEAN STOCK INDEX VI FTSE EUROPE ETF 922042874 1628362 27162 SH DFND NONE 0 27162 0 VANGUARD SCOTTSDALE FDS INT-TE INT-TERM GOV 92206C706 121984 1906 SH DFND NONE 0 1906 0 VANGUARD REIT INDEX ETF REIT ETF 922908553 5578199 74535 SH DFND NONE 0 74535 0 VANGUARD SMALL-CAP GROWTH VIPE SML CP GRW ETF 922908595 108536 852 SH DFND NONE 0 852 0 VANGUARD SMALL-CAP VALUE VIPER SM CP VAL ETF 922908611 23105 219 SH DFND NONE 0 219 0 VANGUARD MID-CAP VIP MID CAP ETF 922908629 1545439 13023 SH DFND NONE 0 13023 0 VANGUARD LG-CAP ETF LARGE CAP ETF 922908637 125114 1390 SH DFND NONE 0 1390 0 VANGUARD EXTENDED MARKET ETF EXTEND MKT ETF 922908652 178990 2040 SH DFND NONE 0 2040 0 VANGUARD GROWTH ETF GROWTH ETF 922908736 179800 1818 SH DFND NONE 0 1818 0 VANGUARD VALUE ETF VALUE ETF 922908744 2586838 31956 SH DFND NONE 0 31956 0 VANGUARD SMALL-CAP VIPERS SMALL CP ETF 922908751 1349925 11526 SH DFND NONE 0 11526 0 VANGUARD TOTAL STOCK MARKET VI TOTAL STK MKT 922908769 623443 6126 SH DFND NONE 0 6126 0 WESTERN ASSETS HIGH INCOME FUN COM 95766J102 14145 1500 SH DFND NONE 0 1500 0 WISDOMTREE EMERGING MARKETS HI EMERG MKTS ETF 97717W315 388282 7490 SH DFND NONE 0 7490 0 WISDOMTREE DIVIDEND EX FINANCI DIV EX-FINL FD 97717W406 7390 100 SH DFND NONE 0 100 0 WISDOMTREE SMLCAP EARN FD SMLCAP EARN FD 97717W562 8263 100 SH DFND NONE 0 100 0 WISDOMTREE TRUST EARNING 500 F EARNING 500 FD 97717W588 38340 562 SH DFND NONE 0 562 0 WISDOMTREE TRUST TTL EARNING F TTL EARNING FD 97717W596 16673 236 SH DFND NONE 0 236 0 WISDOMTREE DEFA DEFA FD 97717W703 249491 4456 SH DFND NONE 0 4456 0 WISDOMTREE INTL SC INTL SMCAP DIV 97717W760 6478 100 SH DFND NONE 0 100 0 WISDOMTREE TR EUROPE SMCP DV EUROPE SMCP DV 97717W869 19637 325 SH DFND NONE 0 325 0 WISDOMTREE GLOBAL EQUITY INCOM GLB EQTY INC FD 97717W877 11113 225 SH DFND NONE 0 225 0 ALLIANCE WORLD II COM 01879R106 16971 1181 SH DFND NONE 0 1181 0 BLACKROCK CORE BD TR SHS BEN INT 09249E101 50605 3625 SH DFND NONE 0 3625 0 BLACKROCK CORPORATE COM 09255P107 41331 3363 SH DFND NONE 0 3363 0 CLAYMORE EXCHANGE TRD FD TR GU GUGG BULL 2015 18383M423 18926 703 SH DFND NONE 0 703 0 VELOCITYSHARES DAILY INVERSE V INVRS VIX STERM 22542D795 23615 525 SH DFND NONE 0 525 0 EATON VANCE LTD DURATION COM 27828H105 47052 3020 SH DFND NONE 0 3020 0 FIRST TR EXCHANGE TRADED FD SE SENIOR LN FD 33738D309 104538 2100 SH DFND NONE 0 2100 0 JOHN HANCOCK FD III COM 41021P103 8955 500 SH DFND NONE 0 500 0 ISHARES TR BARCLYS TIPS BD TIPS BD ETF 464287176 2778100 24082 SH DFND NONE 0 24082 0 ISHARES TR BARCLYS US AGG B CORE TOTUSBD ETF 464287226 6137012 56097 SH DFND NONE 0 56097 0 ISHARES IBOXX INV GR CORP BD IBOXX INV CP ETF 464287242 1425515 11953 SH DFND NONE 0 11953 0 ISHARES TR BARCLYS 20+ YR 20+ YR TR BD ETF 464287432 8000436 70476 SH DFND NONE 0 70476 0 ISHARES TR BARCLYS 7-10 YR 7-10 Y TR BD ETF 464287440 97987 946 SH DFND NONE 0 946 0 ISHARES TR BARCLYS 1-3 YR 1-3 YR TR BD ETF 464287457 130561 1544 SH DFND NONE 0 1544 0 ISHARES S&P CITIGROUP 1/3 YR I 3YRTB ETF 464288125 1804297 18744 SH DFND NONE 0 18744 0 ISHARES JP MORGAN USD EM BOND JP MOR EM MK ETF 464288281 162185 1407 SH DFND NONE 0 1407 0 ISHARES S&P NATIONAL MUNICIPAL NAT AMT FREE BD 464288414 165365 1522 SH DFND NONE 0 1522 0 ISHARES IBOXX HIGH YIELD BD IBOXX HI YD ETF 464288513 306163 3216 SH DFND NONE 0 3216 0 ISHARES TR BARCLYS MBS BD MBS ETF 464288588 2627798 24282 SH DFND NONE 0 24282 0 ISHARES TR BARCLYS INTER CR INTERM CR BD ETF 464288638 312609 2837 SH DFND NONE 0 2837 0 ISHARES TR BARCLYS 3-7 YR 3-7 YR TR BD ETF 464288661 475994 3908 SH DFND NONE 0 3908 0 ISHARES TR BARCLYS SH TREA SHRT TRS BD ETF 464288679 12019 109 SH DFND NONE 0 109 0 ISHARES S&P US PREFERRED STOCK U.S. PFD STK ETF 464288687 3137844 78623 SH DFND NONE 0 78623 0 ISHARES FLOATING RATE BOND FLTG RATE BD ETF 46429B655 1327353 26129 SH DFND NONE 0 26129 0 MARKET VECTORS HIGH YIELD MUNI HG YLD MUN ETF 57060U878 9712 322 SH DFND NONE 0 322 0 NUVEEN INVESTMENT QUALITY MUNI COM 67062E103 10276 700 SH DFND NONE 0 700 0 NUVEEN MICH QUALITY INCOME MCO COM 670979103 261241 18054 SH DFND NONE 0 18054 0 PIMCO CP OPPORTUNITY COM 72201B101 27333 1450 SH DFND NONE 0 1450 0 POWERSHARES EXCHANGE FINL PFD PTFL 73935X229 1247064 68520 SH DFND NONE 0 68520 0 POWERSHARES ETF TRUST II SENIO SENIOR LN PORT 73936Q769 439552 17674 SH DFND NONE 0 17674 0 POWERSHARES ETF TRUST II INTL INTL CORP BOND 73936Q835 5674 185 SH DFND NONE 0 185 0 POWERSHARES 1-30 LADDERED TREA I-30 LAD TREAS 73936T524 25219 810 SH DFND NONE 0 810 0 POWERSHARES FUNDAMENTAL HIGH Y FDM HG YLD RAFI 73936T557 38710 1975 SH DFND NONE 0 1975 0 POWERSHARES EMERGING MKTS SOVE SOVEREIGN DEBT 73936T573 691850 23726 SH DFND NONE 0 23726 0 SPDR BARCLAYS CAPITAL CONVERTI BRC CNV SECS ETF 78464A359 3030 60 SH DFND NONE 0 60 0 SPDR SERIES TRUST BRCLYS YLD E BRC HGH YLD BD 78464A417 6556993 157129 SH DFND NONE 0 157129 0 SPDR SERIES TRUST BRCLYS SHRT NUVN BR SHT MUNI 78464A425 49171 2021 SH DFND NONE 0 2021 0 SPDR BARCLAY INTL TREASURY BON BRCLYS INTL ETF 78464A516 161268 2652 SH DFND NONE 0 2652 0 SSGA ACTIVE ETF TR BLKSTN GSOS BLKSTN GSOSRLN 78467V608 35000 700 SH DFND NONE 0 700 0 SPDR SERIES TRUST SHORT TERM H SHT TRM HGH YLD 78468R408 3011448 97269 SH DFND NONE 0 97269 0 TEMPLETON EMERGING MARKETS INC COM 880192109 8067 585 SH DFND NONE 0 585 0 VANGUARD LT BD ETF LONG TERM BOND 921937793 11776 131 SH DFND NONE 0 131 0 VANGUARD ST BOND ETF SHORT TRM BOND 921937827 2243173 27921 SH DFND NONE 0 27921 0 VANGUARD SHRT-TERM INFL-PROT S STRM INFPROIDX 922020805 2377994 47446 SH DFND NONE 0 47446 0 VANGUARD SCOTTSDALE FDS SHTRM SHTRM GVT BD ETF 92206C102 266856 4379 SH DFND NONE 0 4379 0 VANGUARD SHORT-TERM CORPORATE SHRT TRM CORP BD 92206C409 390357 4857 SH DFND NONE 0 4857 0 VANGUARD MORTGAGE BACKED SECUR MORTG-BACK SEC 92206C771 714685 13582 SH DFND NONE 0 13582 0 VANGUARD INTERMEDIATE-TERM COR INT-TERM CORP 92206C870 292746 3382 SH DFND NONE 0 3382 0 CREDIT SUISSE NASSAU BRH INVRS INVRS VIX MDTERM 22542D829 26743 575 SH DFND NONE 0 575 0 AMERICAN INTL GROUP INC WT EXP *W EXP 01/19/202 026874156 1809 68 SH DFND NONE 0 68 0 GENERAL MTRS CO WT EXP 071016 *W EXP 07/10/201 37045V118 7823 294 SH DFND NONE 0 294 0 GENERAL MTRS CO WT EXP 071019 *W EXP 07/10/201 37045V126 5457 294 SH DFND NONE 0 294 0