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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
MAA icon
126
Mid-America Apartment Communities
MAA
$15.7B
$306K 0.2%
4,900
– –
SRCL
127
DELISTED
Stericycle Inc
SRCL
$306K 0.2%
2,650
– –
YONG
128
DELISTED
YONGYE INTERNATIONAL, INC. COMMON STOCK
YONG
$306K 0.2%
49,375
-4,600
-9% -$26.7K
CAM
129
DELISTED
CAMERON INTERNATIONAL CORPORATION
CAM
$306K 0.2%
5,250
-355
-6% -$21.2K
HIG icon
130
Hartford Financial Services
HIG
$39.3B
$305K 0.2%
9,800
-600
-6% -$18.7K
WM icon
131
Waste Management
WM
$91B
$304K 0.2%
7,361
-1,125
-13% -$46.9K
SJM icon
132
J.M. Smucker
SJM
$12.8B
$303K 0.2%
2,885
-109
-4% -$11.8K
IWS icon
133
iShares Russell Mid-Cap Value ETF
IWS
$15.9B
$302K 0.2%
4,957
-19,993
-80% -$1.21M
TSCO icon
134
Tractor Supply
TSCO
$18B
$290K 0.19%
21,600
– –
MFIC icon
135
MidCap Financial Investment
MFIC
$804M
$285K 0.19%
11,667
+667
+6% +$16.2K
PCH
136
DELISTED
PotlatchDeltic
PCH
$270K 0.18%
6,800
– –
BMY icon
137
Bristol-Myers Squibb
BMY
$132B
$262K 0.17%
+5,670
New +$249K
BMRN icon
138
BioMarin Pharmaceuticals
BMRN
$12.4B
$260K 0.17%
3,600
-175
-5% -$11.6K
ELV icon
139
Elevance Health
ELV
$85.5B
$251K 0.17%
3,000
– –
PFG icon
140
Principal Financial Group
PFG
$24.3B
$248K 0.16%
5,800
-500
-8% -$20.9K
PGF icon
141
Invesco Financial Preferred ETF
PGF
$672M
$248K 0.16%
14,450
– –
CMCSA icon
142
Comcast
CMCSA
$90B
$242K 0.16%
10,738
+688
+7% +$15K
DUK icon
143
Duke Energy
DUK
$97.3B
$235K 0.16%
+3,519
New +$240K
WDC icon
144
Western Digital
WDC
$150B
$235K 0.16%
4,908
-212
-4% -$10.5K
MAT icon
145
Mattel
MAT
$4.23B
$231K 0.15%
5,525
+50
+0.9% +$2.14K
KKR icon
146
KKR & Co
KKR
$92.3B
$226K 0.15%
11,000
– –
PHG icon
147
Philips
PHG
$26.1B
$223K 0.15%
+9,956
New +$217K
TFC icon
148
Truist Financial
TFC
$64B
$220K 0.15%
6,517
– –
GTLS
149
DELISTED
Chart Industries
GTLS
$218K 0.14%
+1,775
New +$200K
TPR icon
150
Tapestry
TPR
$32.8B
$217K 0.14%
3,971
+46
+1% +$2.53K
4 5
6
7 8

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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
Equius Partners Novato, California $324M AUM 8.27% 1-Year Est. Return
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.