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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
CAT icon
151
Caterpillar
CAT
$387B
$211K 0.14%
+2,535
New +$214K
MET.PRB
152
DELISTED
METLIFE INC PFD SERIES B
MET.PRB
$200K 0.13%
8,043
-143
-2% -$3.56K
ON icon
153
ON Semiconductor
ON
$31.6B
$186K 0.12%
+25,500
New +$196K
TSM icon
154
TSMC
TSM
$2.18T
$178K 0.12%
+10,523
New +$179K
F icon
155
Ford
F
$55.7B
$175K 0.12%
+10,372
New +$175K
FLEX icon
156
Flex
FLEX
$44.8B
$165K 0.11%
24,052
– –
SGF
157
DELISTED
Aberdeen Singapore Fund
SGF
$157K 0.1%
12,000
– –
PBR icon
158
Petrobras
PBR
$116B
$156K 0.1%
10,077
– –
KFN
159
DELISTED
KKR FINANCIAL HOLDINGS LLC COM
KFN
$153K 0.1%
14,800
-2,000
-12% -$20.9K
VEON icon
160
VEON
VEON
$3.95B
$141K 0.09%
480
-40
-8% -$10.7K
ANH
161
DELISTED
Anworth Mortgage Asset Corporation
ANH
$58K 0.04%
12,000
– –
TPI
162
DELISTED
TIANYIN PHARMACEUTICAL
TPI
$24K 0.02%
32,400
– –
CRESW
163
DELISTED
CRESUD S.A.C.I.F. YA WTS ON SHS
CRESW
$6K ﹤0.01%
100,950
– –
CAST
164
DELISTED
ChinaCast Education Corporation Common Stock
CAST
$2K ﹤0.01%
23,400
-1,000
-4% -$85
CPHI icon
165
China Pharma Holdings
CPHI
$45.8M
– –
-22
Closed -$2K
EWJ icon
166
iShares MSCI Japan ETF
EWJ
$22.8B
– –
-4,000
Closed -$180K
IWD icon
167
iShares Russell 1000 Value ETF
IWD
$83.9B
– –
-7,770
Closed -$651K
IYT icon
168
iShares US Transportation ETF
IYT
$2.28B
– –
-15,200
Closed -$418K
TEVA icon
169
Teva Pharmaceuticals
TEVA
$41.2B
– –
-5,734
Closed -$225K
XLF icon
170
State Street Financial Select Sector SPDR ETF
XLF
$58.8B
– –
-26,998
Closed -$461K
ENFY
171
DELISTED
Enlightify Inc
ENFY
– –
-2,050
Closed -$70K
TUP
172
DELISTED
Tupperware Brands Corporation
TUP
– –
-3,000
Closed -$233K
AUY
173
DELISTED
Yamana Gold, Inc.
AUY
– –
-13,160
Closed -$125K
CBP
174
DELISTED
CHINA BOTANIC PHARMACEUTICAL INC COM STK (NV)
CBP
$0 ﹤0.01%
10,926
– –
YUII
175
DELISTED
YUHE INTERNATIONAL, INC. COMMON STOCK (NV)
YUII
$0 ﹤0.01%
15,000
– –
4 5 6
7
8

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YWP
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BC
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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 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.