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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
+4.14%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$192M
AUM Growth
+$8.48M
Cap. Flow
+$3M
Cap. Flow %
1.56%
Top 10 Hldgs %
26.66%
Holding
195
New
13
Increased
44
Reduced
58
Closed
9

Top Buys

Rank Stock Value
1
FXI icon
iShares China Large-Cap ETF
FXI
+$899K
2
GE icon
GE Aerospace
GE
+$876K
3
T icon
AT&T
T
+$778K
4
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$696K
5
TAP icon
Molson Coors Class B
TAP
+$602K

Top Sells

Rank Stock Value
1
EMC
EMC CORPORATION
EMC
+$875K
2
M icon
Macy's
M
+$607K
3
WMB icon
Williams Companies
WMB
+$540K
4
EWZ icon
iShares MSCI Brazil ETF
EWZ
+$471K
5
GM icon
General Motors
GM
+$335K

Sector Composition

Rank Sector Weight
1 Healthcare 25.8%
2 Financials 12.12%
3 Consumer Staples 11.31%
4 Communication Services 11.14%
5 Technology 10.93%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AGN
76
DELISTED
Allergan plc
AGN
$798K 0.41%
3,467
-300
-8% -$73.3K
SYK icon
77
Stryker
SYK
$130B
$792K 0.41%
6,806
– –
BF.B icon
78
Brown-Forman Class B
BF.B
$13.1B
$787K 0.41%
25,906
– –
STX icon
79
Seagate
STX
$184B
$782K 0.41%
20,295
-3,590
-15% -$117K
ILMN icon
80
Illumina
ILMN
$28.4B
$754K 0.39%
4,266
-103
-2% -$16.5K
QCOM icon
81
Qualcomm
QCOM
$176B
$716K 0.37%
10,452
-300
-3% -$18.2K
DAL icon
82
Delta Air Lines
DAL
$60.1B
$715K 0.37%
18,162
+1
+0% +$38
SWKS icon
83
Skyworks Solutions
SWKS
$10.6B
$694K 0.36%
9,110
-200
-2% -$13.9K
PM icon
84
Philip Morris
PM
$295B
$692K 0.36%
7,111
– –
USB icon
85
US Bancorp
USB
$99.6B
$692K 0.36%
16,137
– –
NEE icon
86
NextEra Energy
NEE
$177B
$678K 0.35%
22,144
– –
MS icon
87
Morgan Stanley
MS
$340B
$659K 0.34%
20,550
+1,300
+7% +$38.8K
TAP icon
88
Molson Coors Class B
TAP
$8.09B
$651K 0.34%
+5,925
New +$602K
CIEN icon
89
Ciena
CIEN
$58.4B
$638K 0.33%
29,262
+2,227
+8% +$46.4K
AMP icon
90
Ameriprise Financial
AMP
$48.8B
$635K 0.33%
6,363
– –
NSC icon
91
Norfolk Southern
NSC
$75.1B
$631K 0.33%
6,500
+1,050
+19% +$95.6K
HAL icon
92
Halliburton
HAL
$26.6B
$620K 0.32%
13,825
-1,235
-8% -$53.9K
LRFC
93
DELISTED
Logan Ridge Finance Corp
LRFC
$617K 0.32%
7,848
-3,561
-31% -$312K
NWL icon
94
Newell Brands
NWL
$2.56B
$593K 0.31%
11,260
+342
+3% +$17.7K
AMGN icon
95
Amgen
AMGN
$222B
$584K 0.3%
3,500
– –
MAA icon
96
Mid-America Apartment Communities
MAA
$15.7B
$580K 0.3%
6,175
– –
LNC icon
97
Lincoln National
LNC
$8.81B
$578K 0.3%
12,300
– –
HSIC icon
98
Henry Schein
HSIC
$9.82B
$570K 0.3%
8,925
– –
TRV icon
99
Travelers Companies
TRV
$80.2B
$562K 0.29%
4,905
– –
DHR icon
100
Danaher
DHR
$144B
$560K 0.29%
8,057
-2,571
-24% -$182K
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 2016 Portfolio in Review

As of Q3 2016, Regent Investment Management held 195 positions worth $192M, up 4.6% from $184M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Regent Investment Management's Q3 2016 filing shows 13 new, 44 increased, 58 reduced and 9 closed positions. Its largest new stake was iShares China Large-Cap ETF: 24,530 shares worth $932K. The largest sale was EMC CORPORATION, an estimated $875K.

By sector, the portfolio is most concentrated in Healthcare at 26% of assets, down from 28% a quarter earlier, followed by Financials and Consumer Staples.

  • Regent Investment Management's largest Q3 2016 buy was iShares China Large-Cap ETF: 24,530 shares worth $932K.
  • Regent Investment Management added most to GE Aerospace in Q3 2016, an estimated $876K increase.
  • Regent Investment Management's biggest Q3 2016 reduction was Macy's, cutting an estimated $607K.
  • Regent Investment Management fully exited EMC CORPORATION in Q3 2016, selling an estimated $875K.
  • Regent Investment Management's ten largest holdings make up 27% of its $192M portfolio in Q3 2016.
  • Regent Investment Management opened 13 new positions and closed 9 in Q3 2016.
  • Regent Investment Management's portfolio value rose 4.6% quarter-over-quarter to $192M.

Based on Regent Investment Management's 13F filing for Q3 2016, filed 18 Oct 2016.