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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
DCP
151
DELISTED
DCP Midstream, LP
DCP
$283K 0.15%
+5,195
New +$285K
MWE
152
DELISTED
MARKWEST ENERGY PARTNERS, LP
MWE
$279K 0.14%
3,635
– –
GPC icon
153
Genuine Parts
GPC
$18.7B
$278K 0.14%
3,165
– –
TSM icon
154
TSMC
TSM
$2.18T
$273K 0.14%
13,523
– –
BYM
155
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$269K 0.14%
19,440
– –
NPSP
156
DELISTED
NPS PHARMACEUTICALS INC
NPSP
$268K 0.14%
10,300
+1,500
+17% +$43.1K
TSCO icon
157
Tractor Supply
TSCO
$18B
$267K 0.14%
21,720
– –
F icon
158
Ford
F
$55.7B
$263K 0.13%
17,772
+3,000
+20% +$51.3K
BMRN icon
159
BioMarin Pharmaceuticals
BMRN
$12.4B
$260K 0.13%
3,600
– –
CAVM
160
DELISTED
Cavium, Inc.
CAVM
$254K 0.13%
5,100
+600
+13% +$30.4K
CAH icon
161
Cardinal Health
CAH
$55.4B
$247K 0.13%
3,300
– –
AGN
162
DELISTED
Allergan plc
AGN
$246K 0.13%
1,020
– –
BF.B icon
163
Brown-Forman Class B
BF.B
$13.1B
$244K 0.13%
8,450
– –
LPNT
164
DELISTED
LifePoint Health, Inc.
LPNT
$243K 0.12%
3,510
– –
TFC icon
165
Truist Financial
TFC
$64B
$242K 0.12%
6,517
– –
SBUX icon
166
Starbucks
SBUX
$120B
$239K 0.12%
6,334
-600
-9% -$23.2K
HI
167
DELISTED
Hillenbrand
HI
$238K 0.12%
7,713
– –
BX icon
168
Blackstone
BX
$110B
$236K 0.12%
7,643
+1,274
+20% +$41.5K
PFE icon
169
Pfizer
PFE
$153B
$231K 0.12%
8,224
– –
IWN icon
170
iShares Russell 2000 Value ETF
IWN
$14.6B
$230K 0.12%
2,461
-44
-2% -$4.36K
CMCSA icon
171
Comcast
CMCSA
$90B
$222K 0.11%
8,260
-400
-5% -$11K
IFN
172
Aberdeen India Fund
IFN
$504M
$220K 0.11%
8,106
– –
IWO icon
173
iShares Russell 2000 Growth ETF
IWO
$15B
$217K 0.11%
1,675
-150
-8% -$20.1K
UPS icon
174
United Parcel Service
UPS
$88.9B
$210K 0.11%
2,140
-334
-14% -$33.2K
PGF icon
175
Invesco Financial Preferred ETF
PGF
$672M
$206K 0.11%
11,450
-500
-4% -$9.04K
4 5 6
7
8

Similar funds

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 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.