Chief Compliance Officer

0001656537-18-000006.txt : 20180703 0001656537-18-000006.hdr.sgml : 20180703 20180614154805 ACCESSION NUMBER: 0001656537-18-000006 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20180614 DATE AS OF CHANGE: 20180614 EFFECTIVENESS DATE: 20180614 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Regal Wealth Group, Inc. CENTRAL INDEX KEY: 0001656537 IRS NUMBER: 061763159 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-18113 FILM NUMBER: 18899104 BUSINESS ADDRESS: STREET 1: 12501 SEAL BEACH BOULEVARD STREET 2: SUITE 280 CITY: SEAL BEACH STATE: CA ZIP: 90740 BUSINESS PHONE: 562-799-1929 MAIL ADDRESS: STREET 1: 12501 SEAL BEACH BOULEVARD STREET 2: SUITE 280 CITY: SEAL BEACH STATE: CA ZIP: 90740 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001656537 XXXXXXXX 09-30-2016 09-30-2016 true 1 RESTATEMENT Regal Wealth Group, Inc.

12501 SEAL BEACH BOULEVARD SUITE 280 SEAL BEACH CA 90740

13F HOLDINGS REPORT 028-18831 N Bill Beeler Chief Compliance Officer (800) 381-7431 Bill Beeler Seal Beach CA 06-14-2018 0 212 110161 false INFORMATION TABLE 2 regal3q16.xml AbbVie Inc COM 00287Y109 4 71 SH SOLE 0 0 71 Acuity Brands Inc COM 00508Y102 3 12 SH SOLE 0 0 12 Air Products & Chemicals Inc COM 009158106 73 485 SH SOLE 0 0 485 Allstate Corp COM 020002101 129 1860 SH SOLE 0 0 1860 Alphabet Inc A CAP STK CL A 02079K305 23 28 SH SOLE 0 0 28 Alphabet Inc C CAP STK CL C 02079K107 21 27 SH SOLE 0 0 27 Altria Group Inc COM 02209S103 13 202 SH SOLE 0 0 202 Amazon.com Inc COM 023135106 5 6 SH SOLE 0 0 6 American Electric Power Co Inc COM 025537101 4 69 SH SOLE 0 0 69 American Express Co COM 025816109 12 191 SH SOLE 0 0 191 AMERICAN RLTY CAP RETAIL CTRS OF AMER IN COM 02918G101 27 3000 SH SOLE 0 0 3000 American Tower Corp COM 03027X100 14 124 SH SOLE 0 0 124 Ansys Inc COM 03662Q105 2 20 SH SOLE 0 0 20 Apple Inc COM 037833100 191 1691 SH SOLE 0 0 1691 AT&T Inc COM 00206R102 324 7969 SH SOLE 0 0 7969 athenahealth Inc COM 04685W103 3 27 SH SOLE 0 0 27 Baker Hughes Inc COM 057224107 21 414 SH SOLE 0 0 414 Banc of California Inc COM 05990K106 9 506 SH SOLE 0 0 506 Bank of America Corporation COM 060505104 55 3539 SH SOLE 0 0 3539 Bank of Montreal COM 063671101 5 72 SH SOLE 0 0 72 BCE Inc COM 05534B760 5 102 SH SOLE 0 0 102 Beacon Roofing Supply Inc COM 073685109 4 102 SH SOLE 0 0 102 Berkshire Hathaway Inc B CL B NEW 084670702 119 822 SH SOLE 0 0 822 Bio-Techne Corp COM 09073M104 3 26 SH SOLE 0 0 26 Boeing Co COM 097023105 4291 32572 SH SOLE 0 0 32572 Cabot Microelectronics Corp COM 12709P103 2 43 SH SOLE 0 0 43 California Resources Corp COM NEW 13057Q206 0 3 SH SOLE 0 0 3 CatchMark Timber Trust Inc Class A CL A 14912Y202 13 1131 SH SOLE 0 0 1131 Cathay General Bancorp COM 149150104 86 2784 SH SOLE 0 0 2784 Charles Schwab Corp COM 808513105 3 110 SH SOLE 0 0 110 Chemed Corp COM 16359R103 3 22 SH SOLE 0 0 22 Chevron Corp COM 166764100 93 906 SH SOLE 0 0 906 Cisco Systems Inc COM 17275R102 6 197 SH SOLE 0 0 197 Citigroup Inc COM NEW 172967424 3 63 SH SOLE 0 0 63 Clean Energy Fuels Corp COM 184499101 7 1500 SH SOLE 0 0 1500 Cognizant Technology Solutions Corp A CL A 192446102 6 130 SH SOLE 0 0 130 COLLATERAL DELV TO BANK OF AMERICA NA SE COM 192446102 23 22843 SH SOLE 0 0 22843 Comcast Corp Class A CL A 20030N101 16 239 SH SOLE 0 0 239 CoreLogic Inc COM 21871D103 20 500 SH SOLE 0 0 500 CoStar Group Inc COM 22160N109 5 24 SH SOLE 0 0 24 Costco Wholesale Corp COM 22160K105 17 110 SH SOLE 0 0 110 Deere & Co COM 244199105 17 200 SH SOLE 0 0 200 Dell-VMWare Tracking Stock V COM CL V 24703L103 1 30 SH SOLE 0 0 30 Digital Realty Trust Inc COM 253868103 5 48 SH SOLE 0 0 48 Discover Financial Services COM 254709108 44 784 SH SOLE 0 0 784 Walt Disney Co COM DISNEY 254687106 64 693 SH SOLE 0 0 693 Dorman Products Inc COM 258278100 2 32 SH SOLE 0 0 32 Dow Chemical Co COM 260543103 25 481 SH SOLE 0 0 481 Duke Energy Corp COM 26441C204 4 56 SH SOLE 0 0 56 Eaton Corp PLC COM G29183103 5 76 SH SOLE 0 0 76 eBay Inc COM 278642103 27 819 SH SOLE 0 0 819 Echo Global Logistics Inc COM 27875T101 2 72 SH SOLE 0 0 72 Edison International COM 281020107 30 410 SH SOLE 0 0 410 Eversource Energy COM 30040W108 73 1350 SH SOLE 0 0 1350 Exelon Corp COM 30161N101 207 6232 SH SOLE 0 0 6232 Express Scripts Holding Co COM 30219G108 84 1191 SH SOLE 0 0 1191 Exxon Mobil Corp COM 30231G102 14 160 SH SOLE 0 0 160 Facebook Inc A CL A 30303M102 148 1150 SH SOLE 0 0 1150 Fidelity Limited Term Bond ETF QLTY FCTOR ETF 316092790 4 75 SH SOLE 0 0 75 Fidelity Total Bond ETF TOTAL BOND ETF 316188309 4 75 SH SOLE 0 0 75 Fiserv Inc COM 337738108 2 22 SH SOLE 0 0 22 Five Below Inc COM 33829M101 1 36 SH SOLE 0 0 36 Ford Motor Co COM PAR $0.01 345370860 93 7669 SH SOLE 0 0 7669 Frontier Communications Corp Class B COM 35906A108 1 265 SH SOLE 0 0 265 General Electric Co COM 369604103 626 21126 SH SOLE 0 0 21126 General Mills Inc COM 370334104 9 144 SH SOLE 0 0 144 Gentex Corp COM 371901109 4 234 SH SOLE 0 0 234 GetGo Inc COM 385291064 1 700 SH SOLE 0 0 700 GlaxoSmithKline PLC ADR COM 37733W105 4 101 SH SOLE 0 0 101 GoPro Inc A CL A 38268T103 1 50 SH SOLE 0 0 50 Grand Canyon Education Inc COM 38526M106 2 45 SH SOLE 0 0 45 Hawaiian Electric Industries Inc COM 419870100 28 934 SH SOLE 0 0 934 Healthcare Services Group Inc COM 421906108 4 97 SH SOLE 0 0 97 HEALTHCARE TR INC COM COM 421906108 27 1200 SH SOLE 0 0 1200 Heico Corp COM 422806109 2 31 SH SOLE 0 0 31 Hewlett Packard Enterprise Co COM 42824C109 19 848 SH SOLE 0 0 848 Honeywell International Inc COM 438516106 20 175 SH SOLE 0 0 175 Host Hotels & Resorts Inc COM 44107P104 9 589 SH SOLE 0 0 589 HP Inc COM 40434L105 13 847 SH SOLE 0 0 847 Hull Tactical US ETF TACTICAL US ETF 30151E400 71 2692 SH SOLE 0 0 2692 Huntington Ingalls Industries Inc COM 446413106 7 45 SH SOLE 0 0 45 IHS Markit Ltd A CL A G47567105 4 117 SH SOLE 0 0 117 Illumina Inc COM 452327109 5 26 SH SOLE 0 0 26 Intel Corp COM 458140100 360 9535 SH SOLE 0 0 9535 International Business Machines Corp COM 459200101 28 176 SH SOLE 0 0 176 iShares India 50 INDIA 50 ETF 464289529 30 998 SH SOLE 0 0 998 iShares Edge MSCI Min Vol Global MIN VOL GBL ETF 464286525 14 179 SH SOLE 0 0 179 iShares MSCI ACWI ex US MSCI ACWI EX US 464288240 44 1064 SH SOLE 0 0 1064 iShares Silver Trust SILVER TRUST ETF 46428Q109 34 1876 SH SOLE 0 0 1876 iShares Core High Dividend CORE HIGH DV ETF 46429B663 7 89 SH SOLE 0 0 89 iShares Core S&P Mid-Cap CORE S&P MCP ETF 464287507 5598 36185 SH SOLE 0 0 36185 iShares Core S&P Small-Cap CORE S&P SCP ETF 464287804 2922 23533 SH SOLE 0 0 23533 iShares Core S&P Total US Stock Mkt CORE S&P TTL STK 464287150 18 355 SH SOLE 0 0 355 iShares Core S&P 500 CORE S&P500 ETF 464287200 7011 32224 SH SOLE 0 0 32224 iShares Core US Aggregate Bond CORE US AGGBD ET 464287226 5428 48279 SH SOLE 0 0 48279 iShares iBoxx High Yield Corporate Bd IBOXX HI YD ETF 464288513 5822 66723 SH SOLE 0 0 66723 iShares iBoxx Invst Grade Crp Bond IBOXX INV CP ETF 464287242 12278 99677 SH SOLE 0 0 99677 iShares International Select Dividend INTL SEL DIV ETF 464288448 5 153 SH SOLE 0 0 153 iShares JPMorgan USD Emerg Markets Bond JP MOR EM MK ETF 464288281 48 407 SH SOLE 0 0 407 iShares Edge MSCI Min Vol EAFE MIN VOL EAFE ETF 46429B689 341 5039 SH SOLE 0 0 5039 iShares Edge MSCI Min Vol USA MIN VOL USA ETF 46429B697 11552 254283 SH SOLE 0 0 254283 iShares MSCI EAFE MSCI EAFE ETF 464287465 60 1008 SH SOLE 0 0 1008 iShares MSCI Emerging Markets MSCI EMG MKT ETF 464287234 171 4562 SH SOLE 0 0 4562 iShares Russell 1000 RUS 1000 ETF 464287622 1350 11203 SH SOLE 0 0 11203 iShares Russell 1000 Growth RUS 1000 GRW ETF 464287614 2367 22720 SH SOLE 0 0 22720 iShares Russell 1000 Value RUS 1000 VAL ETF 464287598 2324 22004 SH SOLE 0 0 22004 iShares Russell 2000 Growth RUS 2000 GRW ETF 464287648 428 2872 SH SOLE 0 0 2872 iShares Russell 2000 Value RUS 2000 VAL ETF 464287630 408 3898 SH SOLE 0 0 3898 iShares Russell Mid-Cap RUS MID-CAP ETF 464287499 44 251 SH SOLE 0 0 251 iShares Russell 2000 RUSSELL 2000 ETF 464287655 1288 10370 SH SOLE 0 0 10370 iShares Russell 3000 RUSSELL 3000 ETF 464287689 4 31 SH SOLE 0 0 31 iShares S&P 500 Growth S&P 500 GRWT ETF 464287309 14204 116750 SH SOLE 0 0 116750 iShares S&P 500 Value S&P 500 VAL ETF 464287408 11417 120233 SH SOLE 0 0 120233 iShares Select Dividend SELECT DIVID ETF 464287168 150 1754 SH SOLE 0 0 1754 iShares US Real Estate U.S. REAL ES ETF 464287739 58 719 SH SOLE 0 0 719 iStar Inc COM 45031U101 1 52 SH SOLE 0 0 52 JD.com Inc ADR SPON ADR CL A 47215P106 8 300 SH SOLE 0 0 300 Johnson & Johnson COM 478160104 183 1553 SH SOLE 0 0 1553 Johnson Outdoors Inc Class A COM 479167108 4 100 SH SOLE 0 0 100 JPMorgan Chase & Co COM 46625H100 31 459 SH SOLE 0 0 459 KBS REAL ESTATE INVESTMENT TRUST II INC COM 48243C109 36 6434 SH SOLE 0 0 6434 Kinder Morgan Inc P COM 49456B101 19 829 SH SOLE 0 0 829 The Kraft Heinz Co COM 500754106 41 462 SH SOLE 0 0 462 Lands End Inc COM 51509F105 1 95 SH SOLE 0 0 95 Linear Technology Corp COM 535678106 4 62 SH SOLE 0 0 62 Linn Energy Inc A CL A 53601P304 0 407 SH SOLE 0 0 407 LKQ Corp COM 501889208 12 330 SH SOLE 0 0 330 Lockheed Martin Corp COM 539830109 74 308 SH SOLE 0 0 308 Lowes Companies Inc COM 548661107 22 308 SH SOLE 0 0 308 MagneGas Corp COM 55939L301 42 64500 SH SOLE 0 0 64500 Marina Biotech Inc COM 56804Q201 0 2 SH SOLE 0 0 2 Marriott International Inc Class A CL A 571903202 109 1621 SH SOLE 0 0 1621 Marriott Vacations Worldwide Corp COM 57164Y107 12 158 SH SOLE 0 0 158 Maximus Inc COM 577933104 2 38 SH SOLE 0 0 38 McDonalds Corp COM 580135101 251 2176 SH SOLE 0 0 2176 Mead Johnson Nutrition Co COM 582839106 5 60 SH SOLE 0 0 60 Mednax Inc COM 58502B106 3 43 SH SOLE 0 0 43 Merck & Co Inc COM 58933Y105 342 5484 SH SOLE 0 0 5484 Meritor Inc COM 59001K100 45 4022 SH SOLE 0 0 4022 Microchip Technology Inc COM 595017104 5 88 SH SOLE 0 0 88 Microsoft Corp COM 594918104 1153 20020 SH SOLE 0 0 20020 Mobile Mini Inc COM 60740f105 2 51 SH SOLE 0 0 51 Mondelez International Inc Class A CL A 609207105 4 82 SH SOLE 0 0 82 Monster Beverage Corp COM 61174X109 29 200 SH SOLE 0 0 200 Morgan Stanley COM NEW 617446448 50 1568 SH SOLE 0 0 1568 National Instruments Corp COM 636518102 3 111 SH SOLE 0 0 111 Neogen Corp COM 640491106 2 41 SH SOLE 0 0 41 Nestle SA ADR ADR 641069406 16 200 SH SOLE 0 0 200 Netflix Inc COM 64110L106 10 100 SH SOLE 0 0 100 Nike Inc B CL B 654106103 21 400 SH SOLE 0 0 400 Nokia Oyj ADR SPONSORED ADR 654902204 0 79 SH SOLE 0 0 79 Northrop Grumman Corp COM 666807102 61 287 SH SOLE 0 0 287 Nuveen Preferred Securities Income COM 67072C105 61 6369 SH SOLE 0 0 6369 Occidental Petroleum Corp COM 674599105 20 277 SH SOLE 0 0 277 Oracle Corp COM 68389X105 82 2088 SH SOLE 0 0 2088 Patterson Companies Inc COM 703395103 2 48 SH SOLE 0 0 48 PayPal Holdings Inc COM 70450Y103 37 914 SH SOLE 0 0 914 PepsiCo Inc COM 713448108 12 113 SH SOLE 0 0 113 Philip Morris International Inc COM 718172109 12 120 SH SOLE 0 0 120 Phillips Edison Grocery Center REIT II Inc COM 71844W100 0 2400 SH SOLE 0 0 2400 Praxair Inc COM 74005P104 84 692 SH SOLE 0 0 692 The Priceline Group Inc COM NEW 741503403 9 6 SH SOLE 0 0 6 Procter & Gamble Co COM 742718109 198 2203 SH SOLE 0 0 2203 Proto Labs Inc COM 743713109 3 48 SH SOLE 0 0 48 Prudential Financial Inc COM 744320102 15 187 SH SOLE 0 0 187 Qualcomm Inc COM 747525103 27 389 SH SOLE 0 0 389 Reynolds American Inc COM 761713106 4 89 SH SOLE 0 0 89 Ritchie Bros Auctioneers Inc COM 767744105 4 112 SH SOLE 0 0 112 Rockwell Automation Inc COM 773903109 4160 34003 SH SOLE 0 0 34003 Rockwell Collins Inc COM 774341101 3271 38781 SH SOLE 0 0 38781 Rollins Inc COM 775711104 2 84 SH SOLE 0 0 84 Roper Technologies Inc COM 776696106 3 17 SH SOLE 0 0 17 Royal Dutch Shell PLC ADR Class B ADR 780259107 5 87 SH SOLE 0 0 87 Guggenheim S&P 500 Equal Weight ETF GUG S&P500 EQ WT 78355W106 53 630 SH SOLE 0 0 630 Schlumberger Ltd COM 806857108 7 90 SH SOLE 0 0 90 Seadrill Ltd SHS G7945E105 0 79 SH SOLE 0 0 79 Sears Canada Inc COM 81234D109 0 135 SH SOLE 0 0 135 Sears Holdings Corp COM 812350106 4 316 SH SOLE 0 0 316 Simon Property Group Inc COM 828806109 5 22 SH SOLE 0 0 22 Skyworks Solutions Inc COM 83088M102 1675 22004 SH SOLE 0 0 22004 JM Smucker Co COM NEW 832696405 85 624 SH SOLE 0 0 624 SPDR Gold Shares GOLD SHS 78463V107 77 614 SH SOLE 0 0 614 SPDR S&P 500 ETF TR UNIT 78462F103 181 836 SH SOLE 0 0 836 Sprint Corp COM SER 1 85207U105 0 9 SH SOLE 0 0 9 Square Inc A CL A 852234103 1 100 SH SOLE 0 0 100 Staples Inc COM 855030102 10 1135 SH SOLE 0 0 1135 Starbucks Corp COM 855244109 5 86 SH SOLE 0 0 86 SunEdison Inc COM 86732Y109 0 5000 SH SOLE 0 0 5000 Tesla Inc COM 88160R101 35 171 SH SOLE 0 0 171 The Middleby Corp COM 596278101 3 23 SH SOLE 0 0 23 Thermo Fisher Scientific Inc COM 883556102 21 134 SH SOLE 0 0 134 TransCanada Corp COM 89353D107 6 119 SH SOLE 0 0 119 Transocean Ltd REG SHS H8817H100 0 41 SH SOLE 0 0 41 The Travelers Companies Inc COM 89417E109 14 124 SH SOLE 0 0 124 Twitter Inc COM 90184L102 12 500 SH SOLE 0 0 500 The Ultimate Software Group Inc COM 90385D107 6 29 SH SOLE 0 0 29 Vanguard Mid-Cap ETF MID CAP ETF 922908629 1359 10500 SH SOLE 0 0 10500 Vanguard REIT ETF REIT ETF 922908553 530 6113 SH SOLE 0 0 6113 Vanguard Small-Cap ETF SMALL CP ETF 922908751 770 6300 SH SOLE 0 0 6300 Vanguard Total Stock Market ETF TOTAL STK MKT 922908769 1158 10400 SH SOLE 0 0 10400 Verisk Analytics Inc COM 92345Y106 8 100 SH SOLE 0 0 100 Verizon Communications Inc COM 92343V104 192 3698 SH SOLE 0 0 3698 Visa Inc Class A COM CL A 92826C839 30 365 SH SOLE 0 0 365 Vision Industries Corp COM 92835C101 0 11600 SH SOLE 0 0 11600 Vodafone Group PLC ADR SPNSR ADR 92857W308 78 2674 SH SOLE 0 0 2674 WASHINGTON MUTUAL INC ESCROW FROM CUSIP COM 939ESC968 0 150 SH SOLE 0 0 150 Waste Management Inc COM 94106L109 3 50 SH SOLE 0 0 50 Welltower Inc COM 95040Q104 4 60 SH SOLE 0 0 60 Weyerhaeuser Co COM 962166104 4 140 SH SOLE 0 0 140 Yahoo Inc COM 984332106 22 500 SH SOLE 0 0 500 YTB International Inc CL A 98425R309 0 14000 SH SOLE 0 0 14000 YTB International Inc Class A CL A 98425R309 0 7000 SH SOLE 0 0 7000