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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
K
101
DELISTED
Kellanova
K
$424K 0.28%
7,695
+879
+13% +$52.4K
HSIC icon
102
Henry Schein
HSIC
$9.82B
$420K 0.28%
10,328
-2,805
-21% -$114K
LNC icon
103
Lincoln National
LNC
$8.81B
$420K 0.28%
10,000
– –
WHR icon
104
Whirlpool
WHR
$2.82B
$410K 0.27%
+2,800
New +$370K
ABBV icon
105
AbbVie
ABBV
$435B
$409K 0.27%
9,154
+2,144
+31% +$95K
BP icon
106
BP
BP
$107B
$404K 0.27%
11,766
+585
+5% +$20.1K
ILMN icon
107
Illumina
ILMN
$28.4B
$398K 0.26%
5,058
-318
-6% -$24.3K
OXY icon
108
Occidental Petroleum
OXY
$55.9B
$393K 0.26%
4,384
– –
AMGN icon
109
Amgen
AMGN
$222B
$392K 0.26%
3,500
+100
+3% +$10.8K
HUM icon
110
Humana
HUM
$46.2B
$391K 0.26%
4,191
– –
SCHE icon
111
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$372K 0.25%
15,138
+3,258
+27% +$78K
MDLZ icon
112
Mondelez International
MDLZ
$79.9B
$369K 0.24%
11,743
-10,283
-47% -$319K
BHI
113
DELISTED
Baker Hughes
BHI
$363K 0.24%
7,390
+300
+4% +$14.5K
ABT icon
114
Abbott
ABT
$187B
$362K 0.24%
10,904
+644
+6% +$22.6K
EEM icon
115
iShares MSCI Emerging Markets ETF
EEM
$30B
$343K 0.23%
8,408
-3,215
-28% -$127K
BLX icon
116
Bladex Inc
BLX
$2.14B
$339K 0.22%
13,600
– –
LOW icon
117
Lowe's Companies
LOW
$125B
$333K 0.22%
6,992
– –
SU icon
118
Suncor Energy
SU
$70.3B
$333K 0.22%
9,301
-1,500
-14% -$49.9K
EMC
119
DELISTED
EMC CORPORATION
EMC
$332K 0.22%
13,000
+50
+0.4% +$1.3K
PNC icon
120
PNC Financial Services
PNC
$101B
$331K 0.22%
4,563
+875
+24% +$65.3K
MWE
121
DELISTED
MARKWEST ENERGY PARTNERS, LP
MWE
$328K 0.22%
4,535
-900
-17% -$61.7K
NSC icon
122
Norfolk Southern
NSC
$75.1B
$317K 0.21%
4,100
+350
+9% +$26.2K
RDS.A
123
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$317K 0.21%
5,175
+464
+10% +$28.4K
SWKS icon
124
Skyworks Solutions
SWKS
$10.6B
$311K 0.21%
12,500
– –
EFA icon
125
iShares MSCI EAFE ETF
EFA
$80.2B
$306K 0.2%
+4,793
New +$294K
3 4
5
6 7

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YWP
YorkBridge Wealth Partners New York $394M AUM 15.56% 1-Year Est. Return
BC
Burleson & Co Petaluma, California $401M AUM 25.44% 1-Year Est. Return
MAG
Mass Ave Global New York $342M AUM 20.58% 1-Year Est. Return
MPAM
Monarch Partners Asset Management Boston, Massachusetts $339M AUM 2.52% 1-Year Est. Return
LDFR
Lehman & Derafelo Financial Resources Media, Pennsylvania $337M AUM 8.16% 1-Year Est. Return
SAS
Sanford Advisory Services Portage, Michigan $420M AUM 15.59% 1-Year Est. Return
EP
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TC
Titleist Capital San Antonio, Texas $427M AUM 24.17% 1-Year Est. Return

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.