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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
WATG
176
DELISTED
Wonder Auto Technology, Inc. Common Stock
WATG
$0 ﹤0.01%
16,000
– –
HQS
177
DELISTED
HQ Sustainable Maritime Industries, Inc. New Common Stock
HQS
$0 ﹤0.01%
10,200
– –
4 5 6 7
8

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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.