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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
TPI
176
DELISTED
TIANYIN PHARMACEUTICAL
TPI
$19K 0.01%
24,600
-7,800
-24% -$7.16K
CRESW
177
DELISTED
CRESUD S.A.C.I.F. YA WTS ON SHS
CRESW
$8K ﹤0.01%
100,950
– –
CAST
178
DELISTED
ChinaCast Education Corporation Common Stock
CAST
$1K ﹤0.01%
16,400
-7,000
-30% -$427
YUII
179
DELISTED
YUHE INTERNATIONAL, INC. COMMON STOCK (NV)
YUII
$1K ﹤0.01%
13,000
-2,000
-13% -$154
GTLS
180
DELISTED
Chart Industries
GTLS
– –
-1,775
Closed -$218K
IGV icon
181
iShares Expanded Tech-Software Sector ETF
IGV
$14.7B
– –
-28,500
Closed -$435K
KKR icon
182
KKR & Co
KKR
$92.3B
– –
-11,000
Closed -$226K
PBR icon
183
Petrobras
PBR
$116B
– –
-10,077
Closed -$156K
PFG icon
184
Principal Financial Group
PFG
$24.3B
– –
-5,800
Closed -$248K
WM icon
185
Waste Management
WM
$91B
– –
-7,361
Closed -$304K
XBI icon
186
State Street SPDR S&P Biotech ETF
XBI
$10.3B
– –
-13,341
Closed -$574K
MET.PRB
187
DELISTED
METLIFE INC PFD SERIES B
MET.PRB
– –
-8,043
Closed -$200K
CBP
188
DELISTED
CHINA BOTANIC PHARMACEUTICAL INC COM STK (NV)
CBP
$0 ﹤0.01%
10,926
– –
WATG
189
DELISTED
Wonder Auto Technology, Inc. Common Stock
WATG
$0 ﹤0.01%
14,000
-2,000
-13% –
HQS
190
DELISTED
HQ Sustainable Maritime Industries, Inc. New Common Stock
HQS
$0 ﹤0.01%
10,200
– –
4 5 6 7
8

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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.