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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
+5.39%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$187M
AUM Growth
+$5.65M
Cap. Flow
-$1.53M
Cap. Flow %
-0.82%
Top 10 Hldgs %
27.35%
Holding
188
New
11
Increased
33
Reduced
85
Closed
7

Top Buys

Rank Stock Value
1
DXJ icon
WisdomTree Japan Hedged Equity Fund
DXJ
+$1.61M
2
KND
Kindred Healthcare
KND
+$962K
3
VPL icon
Vanguard FTSE Pacific ETF
VPL
+$943K
4
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$370K
5
IGV icon
iShares Expanded Tech-Software Sector ETF
IGV
+$356K

Top Sells

Rank Stock Value
1
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$1.52M
2
KMI icon
Kinder Morgan
KMI
+$828K
3
LRFC
Logan Ridge Finance Corp
LRFC
+$447K
4
M icon
Macy's
M
+$443K
5
VTRS icon
Viatris
VTRS
+$387K

Sector Composition

Rank Sector Weight
1 Healthcare 29.18%
2 Financials 12.52%
3 Consumer Staples 10.75%
4 Technology 9.42%
5 Communication Services 9.38%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HUM icon
76
Humana
HUM
$46.2B
$784K 0.42%
4,391
– –
LAMR icon
77
Lamar Advertising Co
LAMR
$16.3B
$772K 0.41%
12,875
– –
ON icon
78
ON Semiconductor
ON
$31.6B
$763K 0.41%
77,825
-2,750
-3% -$28.9K
KMI icon
79
Kinder Morgan
KMI
$68.7B
$711K 0.38%
47,678
-34,735
-42% -$828K
ABBV icon
80
AbbVie
ABBV
$435B
$705K 0.38%
11,899
-1,245
-9% -$71.7K
AMP icon
81
Ameriprise Financial
AMP
$48.8B
$698K 0.37%
6,563
+200
+3% +$22.4K
VWO icon
82
Vanguard FTSE Emerging Markets ETF
VWO
$126B
$698K 0.37%
21,335
-222
-1% -$7.64K
USB icon
83
US Bancorp
USB
$99.6B
$692K 0.37%
16,212
-582
-3% -$24.9K
PM icon
84
Philip Morris
PM
$295B
$689K 0.37%
7,829
-455
-5% -$39.5K
INTC icon
85
Intel
INTC
$513B
$679K 0.36%
19,718
– –
MAA icon
86
Mid-America Apartment Communities
MAA
$15.7B
$679K 0.36%
7,475
– –
DHR icon
87
Danaher
DHR
$144B
$669K 0.36%
10,714
– –
TDF
88
Templeton Dragon Fund
TDF
$280M
$621K 0.33%
34,847
-2,550
-7% -$49.4K
PFE icon
89
Pfizer
PFE
$153B
$613K 0.33%
20,012
-185
-0.9% -$5.82K
SYK icon
90
Stryker
SYK
$130B
$604K 0.32%
6,500
– –
MSFT icon
91
Microsoft
MSFT
$3.71T
$594K 0.32%
10,696
-1,600
-13% -$84.2K
LNC icon
92
Lincoln National
LNC
$8.81B
$588K 0.31%
11,700
+1,700
+17% +$89K
NEE icon
93
NextEra Energy
NEE
$177B
$588K 0.31%
22,644
– –
BUD icon
94
AB InBev
BUD
$165B
$584K 0.31%
4,675
– –
UL icon
95
Unilever
UL
$136B
$571K 0.31%
11,773
-67
-0.6% -$3.27K
AMGN icon
96
Amgen
AMGN
$222B
$568K 0.3%
3,500
-100
-3% -$15.7K
TRV icon
97
Travelers Companies
TRV
$80.2B
$559K 0.3%
4,955
-500
-9% -$55.5K
HSIC icon
98
Henry Schein
HSIC
$9.82B
$554K 0.3%
8,925
– –
CIEN icon
99
Ciena
CIEN
$58.4B
$537K 0.29%
25,933
+403
+2% +$9.26K
AAP icon
100
Advance Auto Parts
AAP
$3.49B
$531K 0.28%
3,530
-200
-5% -$34.7K
2 3
4
5 6

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MPAM
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LDFR
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Regent Investment Management's Q4 2015 Portfolio in Review

As of Q4 2015, Regent Investment Management held 188 positions worth $187M, up 3.1% from $181M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Regent Investment Management's Q4 2015 filing shows 11 new, 33 increased, 85 reduced and 7 closed positions. Its largest new stake was WisdomTree Japan Hedged Equity Fund: 30,290 shares worth $1.52M. The largest sale was iShares Russell 1000 Growth ETF, an estimated $1.52M.

By sector, the portfolio is most concentrated in Healthcare at 29% of assets, up from 28% a quarter earlier, followed by Financials and Consumer Staples.

  • Regent Investment Management's largest Q4 2015 buy was WisdomTree Japan Hedged Equity Fund: 30,290 shares worth $1.52M.
  • Regent Investment Management added most to Merck in Q4 2015, an estimated $354K increase.
  • Regent Investment Management's biggest Q4 2015 reduction was Kinder Morgan, cutting an estimated $828K.
  • Regent Investment Management fully exited iShares Russell 1000 Growth ETF in Q4 2015, selling an estimated $1.52M.
  • Regent Investment Management's ten largest holdings make up 27% of its $187M portfolio in Q4 2015.
  • Regent Investment Management opened 11 new positions and closed 7 in Q4 2015.
  • Regent Investment Management's portfolio value rose 3.1% quarter-over-quarter to $187M.

Based on Regent Investment Management's 13F filing for Q4 2015, filed 14 Jan 2016.