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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
+10.6%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$178M
AUM Growth
+$26.9M
Cap. Flow
+$11.5M
Cap. Flow %
6.45%
Top 10 Hldgs %
22.13%
Holding
193
New
22
Increased
62
Reduced
60
Closed
8

Top Buys

Rank Stock Value
1
JPM icon
JPMorgan Chase
JPM
+$1.25M
2
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$963K
3
GILD icon
Gilead Sciences
GILD
+$730K
4
BMY icon
Bristol-Myers Squibb
BMY
+$727K
5
SCHB icon
Schwab US Broad Market ETF
SCHB
+$701K

Top Sells

Rank Stock Value
1
IWN icon
iShares Russell 2000 Value ETF
IWN
+$811K
2
XBI icon
State Street SPDR S&P Biotech ETF
XBI
+$574K
3
ETP
Energy Transfer Partners L.p.
ETP
+$500K
4
IGV icon
iShares Expanded Tech-Software Sector ETF
IGV
+$435K
5
TMO icon
Thermo Fisher Scientific
TMO
+$328K

Sector Composition

Rank Sector Weight
1 Healthcare 22.18%
2 Consumer Staples 12.41%
3 Financials 11.62%
4 Energy 11.6%
5 Technology 9.62%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EBAY icon
76
eBay
EBAY
$49.8B
$742K 0.42%
32,112
+713
+2% +$15.8K
AMP icon
77
Ameriprise Financial
AMP
$48.8B
$732K 0.41%
6,363
– –
SCHB icon
78
Schwab US Broad Market ETF
SCHB
$44.9B
$731K 0.41%
+97,500
New +$701K
DVN icon
79
Devon Energy
DVN
$47.3B
$720K 0.4%
11,635
-1,150
-9% -$70.5K
DHR icon
80
Danaher
DHR
$144B
$685K 0.38%
13,205
– –
KR icon
81
Kroger
KR
$34.8B
$682K 0.38%
34,492
– –
EFA icon
82
iShares MSCI EAFE ETF
EFA
$80.2B
$670K 0.38%
9,993
+5,200
+108% +$340K
SE
83
DELISTED
Spectra Energy Corp Wi
SE
$637K 0.36%
17,885
-3,156
-15% -$109K
T icon
84
AT&T
T
$163B
$627K 0.35%
23,623
+298
+1% +$7.84K
UL icon
85
Unilever
UL
$136B
$613K 0.34%
13,218
+622
+5% +$27.8K
MSFT icon
86
Microsoft
MSFT
$3.71T
$598K 0.34%
15,995
– –
PHG icon
87
Philips
PHG
$26.1B
$588K 0.33%
22,943
+12,987
+130% +$313K
VIAB
88
DELISTED
Viacom Inc. Class B
VIAB
$579K 0.32%
+6,625
New +$547K
EMC
89
DELISTED
EMC CORPORATION
EMC
$575K 0.32%
22,850
+9,850
+76% +$239K
PM icon
90
Philip Morris
PM
$295B
$566K 0.32%
+6,491
New +$567K
MDLZ icon
91
Mondelez International
MDLZ
$79.9B
$553K 0.31%
15,671
+3,928
+33% +$131K
SNP
92
DELISTED
CHINA PETROLEUM & CHEMICAL CORPORATION ADS (REP 100 ORDINARY H SHARES)
SNP
$548K 0.31%
6,670
-260
-4% -$21.4K
ILMN icon
93
Illumina
ILMN
$28.4B
$541K 0.3%
5,032
-26
-0.5% -$2.38K
SYK icon
94
Stryker
SYK
$130B
$537K 0.3%
7,150
-750
-9% -$54.7K
XLI icon
95
State Street Industrial Select Sector SPDR ETF
XLI
$34.6B
$530K 0.3%
+10,150
New +$499K
IYT icon
96
iShares US Transportation ETF
IYT
$2.28B
$528K 0.3%
+16,000
New +$503K
GM icon
97
General Motors
GM
$76.8B
$523K 0.29%
+12,800
New +$484K
PCL
98
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$518K 0.29%
11,144
– –
MXIM
99
DELISTED
Maxim Integrated Products
MXIM
$516K 0.29%
18,500
-1,000
-5% -$28.9K
NWL icon
100
Newell Brands
NWL
$2.56B
$512K 0.29%
15,800
-500
-3% -$14.9K
2 3
4
5 6

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MAG
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MPAM
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LDFR
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SAS
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EP
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TC
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Regent Investment Management's Q4 2013 Portfolio in Review

As of Q4 2013, Regent Investment Management held 193 positions worth $178M, up 18% from $151M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Regent Investment Management deployed $11.5M of net new capital in Q4 2013, opening 22 new positions and adding to 62 existing holdings. Its largest new stake was iShares Russell 1000 Growth ETF: 46,936 shares worth $1.01M.

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

On the sell side, the largest reduction was iShares Russell 2000 Value ETF, an estimated $811K trimmed.

  • Regent Investment Management's largest Q4 2013 buy was iShares Russell 1000 Growth ETF: 46,936 shares worth $1.01M.
  • Regent Investment Management added most to JPMorgan Chase in Q4 2013, an estimated $1.25M increase.
  • Regent Investment Management's biggest Q4 2013 reduction was iShares Russell 2000 Value ETF, cutting an estimated $811K.
  • Regent Investment Management fully exited State Street SPDR S&P Biotech ETF in Q4 2013, selling an estimated $574K.
  • Regent Investment Management's ten largest holdings make up 22% of its $178M portfolio in Q4 2013.
  • Regent Investment Management opened 22 new positions and closed 8 in Q4 2013.
  • Regent Investment Management's portfolio value rose 18% quarter-over-quarter to $178M.

Based on Regent Investment Management's 13F filing for Q4 2013, filed 22 Jan 2014.