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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
+5.81%
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
-$255K
Cap. Flow
-$8.24M
Cap. Flow %
-4.23%
Top 10 Hldgs %
24.7%
Holding
205
New
15
Increased
42
Reduced
84
Closed
11

Top Buys

Rank Stock Value
1
IWO icon
iShares Russell 2000 Growth ETF
IWO
+$1.47M
2
BUD icon
AB InBev
BUD
+$723K
3
BHI
Baker Hughes
BHI
+$603K
4
XLV icon
State Street Health Care Select Sector SPDR ETF
XLV
+$517K
5
LMRK
Landmark Infrastructure Partners LP Common Units
LMRK
+$515K

Top Sells

Rank Stock Value
1
IWS icon
iShares Russell Mid-Cap Value ETF
IWS
+$1.69M
2
IWP icon
iShares Russell Mid-Cap Growth ETF
IWP
+$1.02M
3
DEO icon
Diageo
DEO
+$736K
4
HRI icon
Herc Holdings
HRI
+$663K
5
DIS icon
Walt Disney
DIS
+$622K

Sector Composition

Rank Sector Weight
1 Healthcare 25.85%
2 Financials 11.43%
3 Technology 10.5%
4 Energy 10.46%
5 Consumer Staples 9.82%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TEN
151
DELISTED
Tenneco Inc. Class A Voting Common Stock
TEN
$306K 0.16%
5,400
-400
-7% -$21.5K
CIEN icon
152
Ciena
CIEN
$58.4B
$301K 0.15%
15,500
-7,450
-32% -$124K
RDS.A
153
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$297K 0.15%
4,747
– –
SCHB icon
154
Schwab US Broad Market ETF
SCHB
$44.9B
$296K 0.15%
+35,616
New +$288K
SBUX icon
155
Starbucks
SBUX
$120B
$293K 0.15%
7,134
+800
+13% +$31.2K
NPSP
156
DELISTED
NPS PHARMACEUTICALS INC
NPSP
$290K 0.15%
8,100
-2,200
-21% -$65.7K
BF.B icon
157
Brown-Forman Class B
BF.B
$13.1B
$282K 0.14%
10,019
+1,569
+19% +$45.4K
PAA icon
158
Plains All American Pipeline
PAA
$16.1B
$282K 0.14%
+5,500
New +$292K
F icon
159
Ford
F
$55.7B
$281K 0.14%
18,104
+332
+2% +$4.89K
BYM
160
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$280K 0.14%
19,440
– –
AAL icon
161
American Airlines Group
AAL
$10.6B
$279K 0.14%
+5,200
New +$224K
SU icon
162
Suncor Energy
SU
$70.3B
$272K 0.14%
8,551
-150
-2% -$4.96K
HI
163
DELISTED
Hillenbrand
HI
$266K 0.14%
7,713
– –
AAP icon
164
Advance Auto Parts
AAP
$3.49B
$256K 0.13%
+1,610
New +$237K
SWKS icon
165
Skyworks Solutions
SWKS
$10.6B
$255K 0.13%
+3,510
New +$218K
LPNT
166
DELISTED
LifePoint Health, Inc.
LPNT
$252K 0.13%
3,510
– –
IWN icon
167
iShares Russell 2000 Value ETF
IWN
$14.6B
$250K 0.13%
2,461
– –
CAM
168
DELISTED
CAMERON INTERNATIONAL CORPORATION
CAM
$247K 0.13%
4,950
– –
TXRH icon
169
Texas Roadhouse
TXRH
$13.7B
$246K 0.13%
+7,300
New +$224K
MWE
170
DELISTED
MARKWEST ENERGY PARTNERS, LP
MWE
$244K 0.13%
3,635
– –
PFE icon
171
Pfizer
PFE
$153B
$243K 0.12%
8,224
– –
AGN
172
DELISTED
Allergan plc
AGN
$243K 0.12%
945
-75
-7% -$18.7K
UPS icon
173
United Parcel Service
UPS
$88.9B
$241K 0.12%
2,165
+25
+1% +$2.64K
CMCSA icon
174
Comcast
CMCSA
$90B
$240K 0.12%
8,260
– –
IWP icon
175
iShares Russell Mid-Cap Growth ETF
IWP
$20.7B
$240K 0.12%
5,150
-22,480
-81% -$1.02M
5 6
7
8 9

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YWP
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BC
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MAG
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MPAM
Monarch Partners Asset Management Boston, Massachusetts $339M AUM 2.52% 1-Year Est. Return
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 2014 Portfolio in Review

As of Q4 2014, Regent Investment Management held 205 positions worth $195M, down 0.13% from $195M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

Regent Investment Management withdrew a net $8.24M in Q4 2014, closing 11 positions and reducing 84 holdings. Its most notable exit was iShares Russell Mid-Cap Value ETF, an estimated $1.69M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 26% of assets, up from 24% a quarter earlier, followed by Financials and Technology.

Against the trend, Regent Investment Management opened a new position in AB InBev worth $733K.

  • Regent Investment Management's largest Q4 2014 buy was AB InBev: 6,525 shares worth $733K.
  • Regent Investment Management added most to iShares Russell 2000 Growth ETF in Q4 2014, an estimated $1.47M increase.
  • Regent Investment Management's biggest Q4 2014 reduction was iShares Russell Mid-Cap Growth ETF, cutting an estimated $1.02M.
  • Regent Investment Management fully exited iShares Russell Mid-Cap Value ETF in Q4 2014, selling an estimated $1.69M.
  • Regent Investment Management's ten largest holdings make up 25% of its $195M portfolio in Q4 2014.
  • Regent Investment Management opened 15 new positions and closed 11 in Q4 2014.
  • Regent Investment Management's portfolio value fell 0.13% quarter-over-quarter to $195M.

Based on Regent Investment Management's 13F filing for Q4 2014, filed 14 Jan 2015.