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RIM

Regent Investment Management Portfolio holdings

AUM $373M
1-Year Est. Return 10.22%
This Fund
S&P 500
This Quarter Est. Return
+0.26%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$195M
AUM Growth
-$7.82M
Cap. Flow
-$6.97M
Cap. Flow %
-3.57%
Top 10 Hldgs %
24.18%
Holding
204
New
7
Increased
33
Reduced
98
Closed
14

Top Buys

Rank Stock Value
1
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$1.6M
2
IWP icon
iShares Russell Mid-Cap Growth ETF
IWP
+$902K
3
STON
StoneMor Inc.
STON
+$707K
4
YHOO
Yahoo Inc
YHOO
+$673K
5
BKNG icon
Booking.com
BKNG
+$628K

Top Sells

Rank Stock Value
1
EWZ icon
iShares MSCI Brazil ETF
EWZ
+$1.41M
2
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$825K
3
KO icon
Coca-Cola
KO
+$715K
4
BAX icon
Baxter International
BAX
+$641K
5
WMT icon
Walmart Inc
WMT
+$604K

Sector Composition

Rank Sector Weight
1 Healthcare 24.22%
2 Energy 12.48%
3 Financials 11.62%
4 Consumer Staples 10.22%
5 Technology 10.1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LRFC
26
DELISTED
Logan Ridge Finance Corp
LRFC
$2.16M 1.11%
20,315
-188
-0.9% -$21.1K
ESRX
27
DELISTED
Express Scripts Holding Company
ESRX
$2.12M 1.09%
30,073
-1,974
-6% -$141K
COR icon
28
Cencora
COR
$61.2B
$2.08M 1.07%
26,879
-1,000
-4% -$76K
PRU icon
29
Prudential Financial
PRU
$41.8B
$2.04M 1.04%
23,145
-15
-0.1% -$1.34K
COP icon
30
ConocoPhillips
COP
$141B
$1.91M 0.98%
24,962
-50
-0.2% -$4.09K
MRK icon
31
Merck
MRK
$318B
$1.9M 0.97%
33,585
+2,049
+6% +$115K
VTRS icon
32
Viatris
VTRS
$18.9B
$1.81M 0.93%
39,890
+4,720
+13% +$229K
IWS icon
33
iShares Russell Mid-Cap Value ETF
IWS
$16B
$1.69M 0.87%
24,202
– –
IWF icon
34
iShares Russell 1000 Growth ETF
IWF
$128B
$1.6M 0.82%
+69,736
New +$1.6M
UNP icon
35
Union Pacific
UNP
$174B
$1.59M 0.82%
14,665
-375
-2% -$38.8K
GIS icon
36
General Mills
GIS
$19.7B
$1.44M 0.74%
28,507
-4,988
-15% -$262K
ETN icon
37
Eaton
ETN
$174B
$1.43M 0.73%
22,534
+165
+0.7% +$11.7K
GE icon
38
GE Aerospace
GE
$384B
$1.43M 0.73%
11,623
-266
-2% -$33.1K
DIS icon
39
Walt Disney
DIS
$181B
$1.42M 0.73%
15,935
-1,700
-10% -$150K
HRI icon
40
Herc Holdings
HRI
$5.61B
$1.39M 0.71%
18,283
-1,267
-6% -$108K
SLB icon
41
SLB Ltd
SLB
$75B
$1.39M 0.71%
13,624
+200
+1% +$21.8K
VWO icon
42
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$1.39M 0.71%
33,197
-18,585
-36% -$825K
CAG icon
43
Conagra Brands
CAG
$7.23B
$1.35M 0.69%
52,454
-2,891
-5% -$71.2K
XOM icon
44
ExxonMobil
XOM
$634B
$1.33M 0.68%
14,193
-2,801
-16% -$279K
MMM icon
45
3M
MMM
$94.3B
$1.31M 0.67%
11,091
-400
-3% -$48.1K
TJX icon
46
TJX Companies
TJX
$178B
$1.31M 0.67%
44,422
-2,770
-6% -$78.1K
PEP icon
47
PepsiCo
PEP
$190B
$1.27M 0.65%
13,678
-4,950
-27% -$452K
MET icon
48
MetLife
MET
$62.1B
$1.26M 0.64%
26,250
– –
STX icon
49
Seagate
STX
$184B
$1.25M 0.64%
21,820
-852
-4% -$50.5K
IWP icon
50
iShares Russell Mid-Cap Growth ETF
IWP
$20.7B
$1.22M 0.63%
27,630
+20,208
+272% +$902K
1
2
3 4 5

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YWP
YorkBridge Wealth Partners New York $394M AUM 15.56% 1-Year Est. Return
BC
Burleson & Co Petaluma, California $401M AUM 25.44% 1-Year Est. Return
MAG
Mass Ave Global New York $342M AUM 20.58% 1-Year Est. Return
MPAM
Monarch Partners Asset Management Boston, Massachusetts $339M AUM 2.52% 1-Year Est. Return
LDFR
Lehman & Derafelo Financial Resources Media, Pennsylvania $337M AUM 8.16% 1-Year Est. Return
SAS
Sanford Advisory Services Portage, Michigan $420M AUM 15.59% 1-Year Est. Return
EP
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TC
Titleist Capital San Antonio, Texas $427M AUM 24.17% 1-Year Est. Return

Regent Investment Management's Q3 2014 Portfolio in Review

As of Q3 2014, Regent Investment Management held 204 positions worth $195M, down 3.9% from $203M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Regent Investment Management withdrew a net $6.97M in Q3 2014, closing 14 positions and reducing 98 holdings. Its most notable exit was iShares MSCI Brazil ETF, an estimated $1.41M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 24% of assets, up from 23% a quarter earlier, followed by Energy and Financials.

Against the trend, Regent Investment Management opened a new position in iShares Russell 1000 Growth ETF worth $1.6M.

  • Regent Investment Management's largest Q3 2014 buy was iShares Russell 1000 Growth ETF: 69,736 shares worth $1.6M.
  • Regent Investment Management added most to iShares Russell Mid-Cap Growth ETF in Q3 2014, an estimated $902K increase.
  • Regent Investment Management's biggest Q3 2014 reduction was Vanguard FTSE Emerging Markets ETF, cutting an estimated $825K.
  • Regent Investment Management fully exited iShares MSCI Brazil ETF in Q3 2014, selling an estimated $1.41M.
  • Regent Investment Management's ten largest holdings make up 24% of its $195M portfolio in Q3 2014.
  • Regent Investment Management opened 7 new positions and closed 14 in Q3 2014.
  • Regent Investment Management's portfolio value fell 3.9% quarter-over-quarter to $195M.

Based on Regent Investment Management's 13F filing for Q3 2014, filed 23 Oct 2014.