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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
EEM icon
126
iShares MSCI Emerging Markets ETF
EEM
$30B
$363K 0.2%
8,693
+285
+3% +$11.9K
SWKS icon
127
Skyworks Solutions
SWKS
$10.6B
$357K 0.2%
12,500
– –
HIG icon
128
Hartford Financial Services
HIG
$39.3B
$355K 0.2%
9,800
– –
PNC icon
129
PNC Financial Services
PNC
$101B
$354K 0.2%
4,563
– –
BLX icon
130
Bladex Inc
BLX
$2.14B
$353K 0.2%
12,600
-1,000
-7% -$26.4K
IWS icon
131
iShares Russell Mid-Cap Value ETF
IWS
$15.9B
$353K 0.2%
5,367
+410
+8% +$26.1K
RDS.A
132
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$345K 0.19%
5,175
– –
CAT icon
133
Caterpillar
CAT
$387B
$341K 0.19%
3,755
+1,220
+48% +$104K
LOW icon
134
Lowe's Companies
LOW
$125B
$341K 0.19%
6,892
-100
-1% -$4.86K
TSCO icon
135
Tractor Supply
TSCO
$18B
$335K 0.19%
21,600
– –
SU icon
136
Suncor Energy
SU
$70.3B
$326K 0.18%
9,301
– –
BF.A icon
137
Brown-Forman Class A
BF.A
$13.3B
$323K 0.18%
+10,950
New +$316K
MAA icon
138
Mid-America Apartment Communities
MAA
$15.7B
$322K 0.18%
5,300
+400
+8% +$25K
MFIC icon
139
MidCap Financial Investment
MFIC
$804M
$314K 0.18%
12,333
+666
+6% +$17.1K
CAM
140
DELISTED
CAMERON INTERNATIONAL CORPORATION
CAM
$313K 0.18%
5,250
– –
WDC icon
141
Western Digital
WDC
$150B
$311K 0.17%
4,908
– –
SRCL
142
DELISTED
Stericycle Inc
SRCL
$308K 0.17%
2,650
– –
SJM icon
143
J.M. Smucker
SJM
$12.8B
$299K 0.17%
2,885
– –
YONG
144
DELISTED
YONGYE INTERNATIONAL, INC. COMMON STOCK
YONG
$280K 0.16%
43,675
-5,700
-12% -$36.1K
ELV icon
145
Elevance Health
ELV
$85.5B
$277K 0.16%
3,000
– –
MAT icon
146
Mattel
MAT
$4.23B
$263K 0.15%
5,525
– –
CAVM
147
DELISTED
Cavium, Inc.
CAVM
$262K 0.15%
+7,600
New +$285K
NLY icon
148
Annaly Capital Management
NLY
$17.4B
$261K 0.15%
6,543
-3,250
-33% -$141K
BF.B icon
149
Brown-Forman Class B
BF.B
$13.1B
$257K 0.14%
+10,638
New +$250K
CMCSA icon
150
Comcast
CMCSA
$90B
$256K 0.14%
9,860
-878
-8% -$21.1K
4 5
6
7 8

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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.