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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
+0.26%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$195M
AUM Growth
-$7.82M
Cap. Flow
-$6.97M
Cap. Flow %
-3.57%
Top 10 Hldgs %
24.18%
Holding
204
New
7
Increased
33
Reduced
98
Closed
14

Top Buys

Rank Stock Value
1
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$1.6M
2
IWP icon
iShares Russell Mid-Cap Growth ETF
IWP
+$902K
3
STON
StoneMor Inc.
STON
+$707K
4
YHOO
Yahoo Inc
YHOO
+$673K
5
BKNG icon
Booking.com
BKNG
+$628K

Top Sells

Rank Stock Value
1
EWZ icon
iShares MSCI Brazil ETF
EWZ
+$1.41M
2
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$825K
3
KO icon
Coca-Cola
KO
+$715K
4
BAX icon
Baxter International
BAX
+$641K
5
WMT icon
Walmart Inc
WMT
+$604K

Sector Composition

Rank Sector Weight
1 Healthcare 24.22%
2 Energy 12.48%
3 Financials 11.62%
4 Consumer Staples 10.22%
5 Technology 10.1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VTR icon
126
Ventas
VTR
$47.9B
$387K 0.2%
5,473
+876
+19% +$64K
CIEN icon
127
Ciena
CIEN
$58.4B
$384K 0.2%
22,950
-1,050
-4% -$20.6K
ABT icon
128
Abbott
ABT
$187B
$383K 0.2%
9,199
-660
-7% -$27.9K
NSM
129
DELISTED
Nationstar Mortgage Holdings
NSM
$377K 0.19%
11,000
-500
-4% -$16.6K
BP icon
130
BP
BP
$107B
$367K 0.19%
10,203
– –
PNC icon
131
PNC Financial Services
PNC
$101B
$367K 0.19%
4,288
-275
-6% -$23.4K
MO icon
132
Altria Group
MO
$114B
$366K 0.19%
7,960
– –
WEB
133
DELISTED
Web.com Group, Inc.
WEB
$363K 0.19%
18,188
-800
-4% -$17.9K
CAT icon
134
Caterpillar
CAT
$387B
$362K 0.19%
3,655
– –
HIG icon
135
Hartford Financial Services
HIG
$39.3B
$343K 0.18%
9,200
-500
-5% -$18.1K
RDS.A
136
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$338K 0.17%
4,747
-214
-4% -$16K
ELV icon
137
Elevance Health
ELV
$85.5B
$335K 0.17%
2,800
-200
-7% -$22.9K
JBL icon
138
Jabil
JBL
$35.8B
$335K 0.17%
16,600
-8,650
-34% -$181K
WDC icon
139
Western Digital
WDC
$150B
$332K 0.17%
4,511
– –
CAM
140
DELISTED
CAMERON INTERNATIONAL CORPORATION
CAM
$329K 0.17%
4,950
– –
MAA icon
141
Mid-America Apartment Communities
MAA
$15.7B
$328K 0.17%
5,000
– –
EEM icon
142
iShares MSCI Emerging Markets ETF
EEM
$30B
$324K 0.17%
7,784
+40
+0.5% +$1.77K
LOW icon
143
Lowe's Companies
LOW
$125B
$322K 0.17%
6,092
-800
-12% -$40.4K
PCL
144
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$321K 0.16%
8,229
-2,745
-25% -$114K
SU icon
145
Suncor Energy
SU
$70.3B
$315K 0.16%
8,701
– –
SRCL
146
DELISTED
Stericycle Inc
SRCL
$309K 0.16%
2,650
– –
TEN
147
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
$303K 0.16%
5,800
– –
SJM icon
148
J.M. Smucker
SJM
$12.8B
$294K 0.15%
2,969
-16
-0.5% -$1.64K
PGX icon
149
Invesco Preferred ETF
PGX
$3.78B
$291K 0.15%
20,100
-2,000
-9% -$29K
DE icon
150
Deere & Co
DE
$168B
$283K 0.15%
3,457
-750
-18% -$64.1K
4 5
6
7 8

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YWP
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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 2014 Portfolio in Review

As of Q3 2014, Regent Investment Management held 204 positions worth $195M, down 3.9% from $203M the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Regent Investment Management withdrew a net $6.97M in Q3 2014, closing 14 positions and reducing 98 holdings. Its most notable exit was iShares MSCI Brazil ETF, an estimated $1.41M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 24% of assets, up from 23% a quarter earlier, followed by Energy and Financials.

Against the trend, Regent Investment Management opened a new position in iShares Russell 1000 Growth ETF worth $1.6M.

  • Regent Investment Management's largest Q3 2014 buy was iShares Russell 1000 Growth ETF: 69,736 shares worth $1.6M.
  • Regent Investment Management added most to iShares Russell Mid-Cap Growth ETF in Q3 2014, an estimated $902K increase.
  • Regent Investment Management's biggest Q3 2014 reduction was Vanguard FTSE Emerging Markets ETF, cutting an estimated $825K.
  • Regent Investment Management fully exited iShares MSCI Brazil ETF in Q3 2014, selling an estimated $1.41M.
  • Regent Investment Management's ten largest holdings make up 24% of its $195M portfolio in Q3 2014.
  • Regent Investment Management opened 7 new positions and closed 14 in Q3 2014.
  • Regent Investment Management's portfolio value fell 3.9% quarter-over-quarter to $195M.

Based on Regent Investment Management's 13F filing for Q3 2014, filed 23 Oct 2014.