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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
TXN icon
76
Texas Instruments
TXN
$261B
$711K 0.47%
17,639
-1,021
-5% -$39.7K
KR icon
77
Kroger
KR
$34.8B
$696K 0.46%
34,492
-1,400
-4% -$26.9K
PSX icon
78
Phillips 66
PSX
$81.4B
$690K 0.46%
11,928
+800
+7% +$46.4K
DHR icon
79
Danaher
DHR
$144B
$615K 0.41%
13,205
+707
+6% +$32.1K
T icon
80
AT&T
T
$163B
$596K 0.39%
+23,325
New +$612K
MXIM
81
DELISTED
Maxim Integrated Products
MXIM
$581K 0.38%
19,500
-4,350
-18% -$124K
AMP icon
82
Ameriprise Financial
AMP
$48.8B
$580K 0.38%
6,363
– –
XBI icon
83
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$574K 0.38%
13,341
– –
NSM
84
DELISTED
Nationstar Mortgage Holdings
NSM
$568K 0.38%
10,100
– –
UNP icon
85
Union Pacific
UNP
$174B
$567K 0.37%
7,304
-200
-3% -$15.8K
URI icon
86
United Rentals
URI
$72.4B
$560K 0.37%
9,610
+5,510
+134% +$306K
UL icon
87
Unilever
UL
$136B
$547K 0.36%
12,596
+1,512
+14% +$68.6K
SNP
88
DELISTED
CHINA PETROLEUM & CHEMICAL CORPORATION ADS (REP 100 ORDINARY H SHARES)
SNP
$543K 0.36%
6,930
+950
+16% +$71.1K
APA icon
89
APA Corp
APA
$13.2B
$542K 0.36%
6,371
-714
-10% -$59.3K
SYK icon
90
Stryker
SYK
$130B
$534K 0.35%
7,900
– –
MSFT icon
91
Microsoft
MSFT
$3.71T
$532K 0.35%
15,995
+1,971
+14% +$64.8K
PCL
92
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$522K 0.34%
11,144
-210
-2% -$9.84K
DE icon
93
Deere & Co
DE
$168B
$489K 0.32%
6,002
-4,990
-45% -$416K
KMB icon
94
Kimberly-Clark
KMB
$36.5B
$481K 0.32%
5,327
-401
-7% -$37.1K
NEE icon
95
NextEra Energy
NEE
$177B
$471K 0.31%
23,524
+1,840
+8% +$38K
TRV icon
96
Travelers Companies
TRV
$80.2B
$458K 0.3%
5,398
+258
+5% +$21.3K
NLY icon
97
Annaly Capital Management
NLY
$17.4B
$454K 0.3%
9,793
+18
+0.2% +$847
PFF icon
98
iShares Preferred and Income Securities ETF
PFF
$13.2B
$453K 0.3%
11,909
– –
NWL icon
99
Newell Brands
NWL
$2.56B
$448K 0.3%
16,300
-500
-3% -$13.3K
IGV icon
100
iShares Expanded Tech-Software Sector ETF
IGV
$14.7B
$435K 0.29%
+28,500
New +$420K
2 3
4
5 6

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YWP
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BC
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MAG
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MPAM
Monarch Partners Asset Management Boston, Massachusetts $339M AUM 2.52% 1-Year Est. Return
LDFR
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SAS
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EP
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TC
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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.