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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
BMRN icon
151
BioMarin Pharmaceuticals
BMRN
$12.4B
$253K 0.14%
3,600
– –
GPC icon
152
Genuine Parts
GPC
$18.7B
$250K 0.14%
+3,000
New +$243K
DUK icon
153
Duke Energy
DUK
$97.3B
$243K 0.14%
3,519
– –
TFC icon
154
Truist Financial
TFC
$64B
$243K 0.14%
6,517
– –
MO icon
155
Altria Group
MO
$114B
$242K 0.14%
+6,298
New +$233K
MWE
156
DELISTED
MARKWEST ENERGY PARTNERS, LP
MWE
$240K 0.13%
3,635
-900
-20% -$62.5K
PFE icon
157
Pfizer
PFE
$153B
$239K 0.13%
+8,224
New +$239K
KRFT
158
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
$234K 0.13%
+4,341
New +$232K
BYM
159
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$228K 0.13%
+18,000
New +$231K
ON icon
160
ON Semiconductor
ON
$31.6B
$227K 0.13%
27,500
+2,000
+8% +$14.6K
TPR icon
161
Tapestry
TPR
$32.8B
$223K 0.13%
3,971
– –
BIDU icon
162
Baidu
BIDU
$37.2B
$222K 0.12%
+1,250
New +$202K
CAH icon
163
Cardinal Health
CAH
$55.4B
$207K 0.12%
+3,100
New +$189K
PGX icon
164
Invesco Preferred ETF
PGX
$3.79B
$207K 0.12%
+15,400
New +$210K
WEB
165
DELISTED
Web.com Group, Inc.
WEB
$203K 0.11%
+6,400
New +$186K
PGF icon
166
Invesco Financial Preferred ETF
PGF
$674M
$202K 0.11%
11,950
-2,500
-17% -$42.7K
TSM icon
167
TSMC
TSM
$2.18T
$201K 0.11%
11,523
+1,000
+10% +$17.8K
PCH
168
DELISTED
PotlatchDeltic
PCH
$200K 0.11%
4,800
-2,000
-29% -$81K
KFN
169
DELISTED
KKR FINANCIAL HOLDINGS LLC COM
KFN
$180K 0.1%
14,800
– –
F icon
170
Ford
F
$55.7B
$175K 0.1%
11,372
+1,000
+10% +$16.8K
VEON icon
171
VEON
VEON
$3.95B
$168K 0.09%
520
+40
+8% +$12.8K
FLEX icon
172
Flex
FLEX
$44.8B
$156K 0.09%
26,706
+2,654
+11% +$16.1K
SGF
173
DELISTED
Aberdeen Singapore Fund
SGF
$140K 0.08%
11,000
-1,000
-8% -$13.1K
ANH
174
DELISTED
Anworth Mortgage Asset Corporation
ANH
$46K 0.03%
11,000
-1,000
-8% -$4.5K
GPRC
175
DELISTED
GUANWEI RECYCLING CORP XOM STK (NV)
GPRC
$29K 0.02%
+10,000
New +$27.1K
4 5 6
7
8

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MPAM
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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.