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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
NLY icon
176
Annaly Capital Management
NLY
$17.4B
$202K 0.1%
4,731
-162
-3% -$7.4K
FLEX icon
177
Flex
FLEX
$44.8B
$165K 0.08%
21,166
-2,620
-11% -$21.4K
SGF
178
DELISTED
Aberdeen Singapore Fund
SGF
$124K 0.06%
10,000
-1,000
-9% -$13.1K
TPI
179
DELISTED
TIANYIN PHARMACEUTICAL
TPI
$16K 0.01%
25,252
– –
ITP icon
180
IT Tech Packaging
ITP
$2.99M
$14K 0.01%
1,000
– –
IMX
181
DELISTED
IMPLANT SCIENCES CORP
IMX
$12K 0.01%
+10,000
New +$12K
CRESW
182
DELISTED
CRESUD S.A.C.I.F. YA WTS ON SHS
CRESW
$3K ﹤0.01%
100,950
– –
BLX icon
183
Bladex Inc
BLX
$2.14B
– –
-12,100
Closed -$359K
DUK icon
184
Duke Energy
DUK
$97.3B
– –
-2,740
Closed -$203K
EWZ icon
185
iShares MSCI Brazil ETF
EWZ
$8.95B
– –
-29,495
Closed -$1.41M
MAT icon
186
Mattel
MAT
$4.23B
– –
-5,525
Closed -$215K
PBR icon
187
Petrobras
PBR
$116B
– –
-10,077
Closed -$147K
SCHB icon
188
Schwab US Broad Market ETF
SCHB
$44.9B
– –
-43,428
Closed -$345K
TAP icon
189
Molson Coors Class B
TAP
$8.09B
– –
-2,825
Closed -$210K
VEON icon
190
VEON
VEON
$3.95B
– –
-440
Closed -$92K
VNQ icon
191
Vanguard Real Estate ETF
VNQ
$39.1B
– –
-5,300
Closed -$397K
XLE icon
192
State Street Energy Select Sector SPDR ETF
XLE
$37.6B
– –
-10,500
Closed -$526K
XOP icon
193
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.43B
– –
-1,613
Closed -$531K
BSD
194
DELISTED
The BlackRock Strategic Municipal Trust
BSD
– –
-10,132
Closed -$137K
GPRC
195
DELISTED
GUANWEI RECYCLING CORP XOM STK (NV)
GPRC
– –
-10,000
Closed -$14K
YONG
196
DELISTED
YONGYE INTERNATIONAL, INC. COMMON STOCK
YONG
– –
-31,175
Closed -$219K
CBP
197
DELISTED
CHINA BOTANIC PHARMACEUTICAL INC COM STK (NV)
CBP
$0 ﹤0.01%
10,926
– –
CAST
198
DELISTED
ChinaCast Education Corporation Common Stock
CAST
$0 ﹤0.01%
16,400
– –
YUII
199
DELISTED
YUHE INTERNATIONAL, INC. COMMON STOCK (NV)
YUII
$0 ﹤0.01%
13,000
– –
HQS
200
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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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.