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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
+1.26%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$305M
AUM Growth
-$2.27M
Cap. Flow
-$3.07M
Cap. Flow %
-1.01%
Top 10 Hldgs %
27.8%
Holding
213
New
7
Increased
42
Reduced
103
Closed
7

Top Buys

Rank Stock Value
1
QCOM icon
Qualcomm
QCOM
+$1.65M
2
VRSN icon
VeriSign
VRSN
+$1.52M
3
CSCO icon
Cisco
CSCO
+$725K
4
IWN icon
iShares Russell 2000 Value ETF
IWN
+$724K
5
DXJ icon
WisdomTree Japan Hedged Equity Fund
DXJ
+$681K

Top Sells

Rank Stock Value
1
DXC icon
DXC Technology
DXC
+$1.86M
2
IWP icon
iShares Russell Mid-Cap Growth ETF
IWP
+$766K
3
HEDJ icon
WisdomTree Europe Hedged Equity Fund
HEDJ
+$763K
4
PG icon
Procter & Gamble
PG
+$670K
5
ABT icon
Abbott
ABT
+$528K

Sector Composition

Rank Sector Weight
1 Healthcare 18.14%
2 Technology 17.68%
3 Financials 16.16%
4 Communication Services 12.24%
5 Consumer Discretionary 10.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
V icon
26
Visa
V
$677B
$3.29M 1.08%
19,140
+1,260
+7% +$224K
MS icon
27
Morgan Stanley
MS
$340B
$3.28M 1.07%
76,790
+2,250
+3% +$96.2K
UL icon
28
Unilever
UL
$136B
$2.9M 0.95%
42,946
-2,733
-6% -$189K
ANIP icon
29
ANI Pharmaceuticals
ANIP
$1.78B
$2.89M 0.95%
39,659
+650
+2% +$48.6K
UNH icon
30
UnitedHealth
UNH
$370B
$2.78M 0.91%
12,787
-175
-1% -$42.2K
FDX icon
31
FedEx
FDX
$75.4B
$2.43M 0.8%
16,679
-2,185
-12% -$352K
MU icon
32
Micron Technology
MU
$991B
$2.4M 0.79%
56,070
-4,295
-7% -$194K
CMCSA icon
33
Comcast
CMCSA
$90B
$2.38M 0.78%
52,857
+525
+1% +$23.3K
QCOM icon
34
Qualcomm
QCOM
$176B
$2.38M 0.78%
31,202
+21,890
+235% +$1.65M
TMO icon
35
Thermo Fisher Scientific
TMO
$220B
$2.35M 0.77%
8,080
-5
-0.1% -$1.43K
SWKS icon
36
Skyworks Solutions
SWKS
$10.6B
$2.33M 0.76%
29,385
-310
-1% -$24.7K
CVX icon
37
Chevron
CVX
$366B
$2.28M 0.75%
19,259
-1,050
-5% -$128K
CCL icon
38
Carnival Corporation Ltd
CCL
$39.7B
$2.28M 0.75%
52,210
-2,278
-4% -$105K
TJX icon
39
TJX Companies
TJX
$178B
$2.26M 0.74%
40,545
-1,770
-4% -$96.4K
BA icon
40
Boeing
BA
$185B
$2.21M 0.73%
5,823
-110
-2% -$39.3K
RCL icon
41
Royal Caribbean
RCL
$85.6B
$2.2M 0.72%
20,333
+155
+0.8% +$17.1K
PRU icon
42
Prudential Financial
PRU
$41.8B
$2.2M 0.72%
24,465
+300
+1% +$27.2K
SCHE icon
43
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$2.16M 0.71%
85,990
+24,980
+41% +$636K
KO icon
44
Coca-Cola
KO
$375B
$2.15M 0.7%
39,399
-264
-0.7% -$14.1K
WDAY icon
45
Workday
WDAY
$44.4B
$2.12M 0.69%
12,450
-575
-4% -$111K
AVGO icon
46
Broadcom
AVGO
$2.04T
$2.11M 0.69%
76,490
+17,750
+30% +$505K
KMI icon
47
Kinder Morgan
KMI
$68.7B
$2.08M 0.68%
100,834
+150
+0.1% +$3.08K
VFC icon
48
VF Corp
VFC
$5.89B
$2.08M 0.68%
23,339
-3,745
-14% -$320K
PFE icon
49
Pfizer
PFE
$153B
$2.03M 0.67%
59,560
+316
+0.5% +$11.5K
HD icon
50
Home Depot
HD
$355B
$1.97M 0.64%
8,469
+508
+6% +$111K
1
2
3 4 5

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Regent Investment Management's Q3 2019 Portfolio in Review

As of Q3 2019, Regent Investment Management held 213 positions worth $305M, down 0.74% from $307M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Regent Investment Management's Q3 2019 filing shows 7 new, 42 increased, 103 reduced and 7 closed positions. Its largest new stake was VeriSign: 7,375 shares worth $1.39M. The largest sale was DXC Technology, an estimated $1.86M.

By sector, the portfolio is most concentrated in Healthcare at 18% of assets, down from 18% a quarter earlier, followed by Technology and Financials.

  • Regent Investment Management's largest Q3 2019 buy was VeriSign: 7,375 shares worth $1.39M.
  • Regent Investment Management added most to Qualcomm in Q3 2019, an estimated $1.65M increase.
  • Regent Investment Management's biggest Q3 2019 reduction was DXC Technology, cutting an estimated $1.86M.
  • Regent Investment Management fully exited WisdomTree Europe Hedged Equity Fund in Q3 2019, selling an estimated $763K.
  • Regent Investment Management's ten largest holdings make up 28% of its $305M portfolio in Q3 2019.
  • Regent Investment Management opened 7 new positions and closed 7 in Q3 2019.
  • Regent Investment Management's portfolio value fell 0.74% quarter-over-quarter to $305M.

Based on Regent Investment Management's 13F filing for Q3 2019, filed 17 Oct 2019.