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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
+5.69%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$151M
AUM Growth
+$21.7M
Cap. Flow
+$15.2M
Cap. Flow %
10.04%
Top 10 Hldgs %
21.92%
Holding
180
New
17
Increased
73
Reduced
44
Closed
9

Top Buys

Rank Stock Value
1
IWP icon
iShares Russell Mid-Cap Growth ETF
IWP
+$1.72M
2
LRFC
Logan Ridge Finance Corp
LRFC
+$1.26M
3
IWN icon
iShares Russell 2000 Value ETF
IWN
+$1.15M
4
PEP icon
PepsiCo
PEP
+$692K
5
AAPL icon
Apple
AAPL
+$685K

Top Sells

Rank Stock Value
1
IWS icon
iShares Russell Mid-Cap Value ETF
IWS
+$1.21M
2
IWD icon
iShares Russell 1000 Value ETF
IWD
+$651K
3
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$461K
4
IYT icon
iShares US Transportation ETF
IYT
+$418K
5
DE icon
Deere & Co
DE
+$416K

Sector Composition

Rank Sector Weight
1 Healthcare 21.31%
2 Energy 12.96%
3 Consumer Staples 12.2%
4 Financials 11.8%
5 Technology 10.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BKNG icon
51
Booking.com
BKNG
$161B
$1.06M 0.7%
26,125
– –
AIG icon
52
American International
AIG
$41.3B
$1.05M 0.69%
21,625
-600
-3% -$28.5K
HRI icon
53
Herc Holdings
HRI
$5.61B
$1.05M 0.69%
15,767
+6,375
+68% +$489K
RTX icon
54
RTX Corp
RTX
$301B
$1.02M 0.68%
15,089
-1,913
-11% -$125K
YUM icon
55
Yum! Brands
YUM
$41.1B
$1.02M 0.67%
19,848
+167
+0.8% +$8.66K
MET icon
56
MetLife
MET
$62.1B
$1M 0.66%
23,922
+1,122
+5% +$48.3K
WMT icon
57
Walmart Inc
WMT
$890B
$995K 0.66%
40,365
+20,142
+100% +$508K
QCOM icon
58
Qualcomm
QCOM
$176B
$987K 0.65%
14,662
+17
+0.1% +$1.11K
VWO icon
59
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$982K 0.65%
24,467
+2,561
+12% +$101K
CB icon
60
Chubb
CB
$135B
$943K 0.62%
10,078
+48
+0.5% +$4.39K
STX icon
61
Seagate
STX
$184B
$934K 0.62%
21,350
+750
+4% +$31.5K
DIS icon
62
Walt Disney
DIS
$181B
$919K 0.61%
14,245
+9,795
+220% +$628K
UNH icon
63
UnitedHealth
UNH
$370B
$905K 0.6%
12,644
– –
ETP
64
DELISTED
Energy Transfer Partners L.p.
ETP
$892K 0.59%
17,130
+1,450
+9% +$74.8K
MDT icon
65
Medtronic
MDT
$112B
$884K 0.58%
16,601
+600
+4% +$32.3K
AXP icon
66
American Express
AXP
$230B
$845K 0.56%
11,191
+5,625
+101% +$423K
TJX icon
67
TJX Companies
TJX
$178B
$845K 0.56%
29,968
-2,724
-8% -$72.5K
HON icon
68
Honeywell
HON
$78B
$812K 0.54%
10,886
– –
INTC icon
69
Intel
INTC
$513B
$802K 0.53%
34,973
+8,535
+32% +$197K
SLB icon
70
SLB Ltd
SLB
$75B
$793K 0.52%
8,974
+579
+7% +$47.6K
DVN icon
71
Devon Energy
DVN
$47.3B
$738K 0.49%
12,785
– –
EBAY icon
72
eBay
EBAY
$49.8B
$737K 0.49%
31,399
+19,875
+172% +$446K
JBL icon
73
Jabil
JBL
$35.8B
$734K 0.48%
33,875
-1,450
-4% -$33.1K
FLS icon
74
Flowserve
FLS
$10.2B
$728K 0.48%
11,676
– –
SE
75
DELISTED
Spectra Energy Corp Wi
SE
$720K 0.48%
21,041
-3,456
-14% -$119K
1 2
3
4 5

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MPAM
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Regent Investment Management's Q3 2013 Portfolio in Review

As of Q3 2013, Regent Investment Management held 180 positions worth $151M, up 17% from $130M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Regent Investment Management deployed $15.2M of net new capital in Q3 2013, opening 17 new positions and adding to 73 existing holdings. Its largest new stake was iShares Russell Mid-Cap Growth ETF: 45,188 shares worth $1.77M.

By sector, the portfolio is most concentrated in Healthcare at 21% of assets, down from 22% a quarter earlier, followed by Energy and Consumer Staples.

On the sell side, the largest reduction was iShares Russell Mid-Cap Value ETF, an estimated $1.21M trimmed.

  • Regent Investment Management's largest Q3 2013 buy was iShares Russell Mid-Cap Growth ETF: 45,188 shares worth $1.77M.
  • Regent Investment Management added most to PepsiCo in Q3 2013, an estimated $692K increase.
  • Regent Investment Management's biggest Q3 2013 reduction was iShares Russell Mid-Cap Value ETF, cutting an estimated $1.21M.
  • Regent Investment Management fully exited iShares Russell 1000 Value ETF in Q3 2013, selling an estimated $651K.
  • Regent Investment Management's ten largest holdings make up 22% of its $151M portfolio in Q3 2013.
  • Regent Investment Management opened 17 new positions and closed 9 in Q3 2013.
  • Regent Investment Management's portfolio value rose 17% quarter-over-quarter to $151M.

Based on Regent Investment Management's 13F filing for Q3 2013, filed 10 Oct 2013.