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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
+6.85%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$265M
AUM Growth
+$69.4M
Cap. Flow
+$58.3M
Cap. Flow %
22.01%
Top 10 Hldgs %
24.65%
Holding
215
New
30
Increased
63
Reduced
63
Closed
12

Top Buys

Rank Stock Value
1
CMCSA icon
Comcast
CMCSA
+$3.51M
2
CHTR icon
Charter Communications
CHTR
+$3.27M
3
CSC
Computer Sciences
CSC
+$3.13M
4
META icon
Meta Platforms (Facebook)
META
+$2.94M
5
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$2.84M

Top Sells

Rank Stock Value
1
SE
Spectra Energy Corp Wi
SE
+$1.83M
2
DXJ icon
WisdomTree Japan Hedged Equity Fund
DXJ
+$947K
3
IWN icon
iShares Russell 2000 Value ETF
IWN
+$931K
4
PRU icon
Prudential Financial
PRU
+$598K
5
DEO icon
Diageo
DEO
+$574K

Sector Composition

Rank Sector Weight
1 Healthcare 20.96%
2 Financials 16.13%
3 Communication Services 12.92%
4 Technology 12.43%
5 Consumer Discretionary 10.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MU icon
176
Micron Technology
MU
$991B
$260K 0.1%
+9,000
New +$220K
TSCO icon
177
Tractor Supply
TSCO
$18B
$260K 0.1%
18,850
-625
-3% -$9.1K
NLY icon
178
Annaly Capital Management
NLY
$17.4B
$258K 0.1%
5,800
-681
-11% -$29K
SBUX icon
179
Starbucks
SBUX
$120B
$256K 0.1%
+4,383
New +$248K
LH icon
180
Labcorp
LH
$25.9B
$254K 0.1%
+2,059
New +$244K
OXY icon
181
Occidental Petroleum
OXY
$55.9B
$253K 0.1%
4,000
– –
PBH icon
182
Prestige Consumer Healthcare
PBH
$2.6B
$240K 0.09%
+4,314
New +$238K
TXRH icon
183
Texas Roadhouse
TXRH
$13.7B
$236K 0.09%
5,300
– –
CAT icon
184
Caterpillar
CAT
$387B
$230K 0.09%
2,475
– –
LPNT
185
DELISTED
LifePoint Health, Inc.
LPNT
$230K 0.09%
+3,509
New +$217K
HSY icon
186
Hershey
HSY
$36.6B
$221K 0.08%
2,020
– –
MCHP icon
187
Microchip Technology
MCHP
$46B
$221K 0.08%
+6,000
New +$212K
ZBH icon
188
Zimmer Biomet
ZBH
$18.4B
$220K 0.08%
1,854
-206
-10% -$23.3K
SRCL
189
DELISTED
Stericycle Inc
SRCL
$220K 0.08%
2,650
-200
-7% -$16.1K
QCOM icon
190
Qualcomm
QCOM
$176B
$217K 0.08%
3,792
-7,060
-65% -$410K
FTV icon
191
Fortive
FTV
$18.6B
$213K 0.08%
+5,604
New +$201K
D icon
192
Dominion Energy
D
$59.3B
$209K 0.08%
+2,696
New +$204K
WEB
193
DELISTED
Web.com Group, Inc.
WEB
$197K 0.07%
10,188
-1,841
-15% -$36.3K
USA icon
194
Liberty All-Star Equity Fund
USA
$1.85B
$195K 0.07%
35,700
+2,000
+6% +$10.8K
AMID
195
DELISTED
American Midstream Partners, LP
AMID
$149K 0.06%
+10,000
New +$166K
BGC icon
196
BGC Group
BGC
$4.89B
$148K 0.06%
20,215
+1,555
+8% +$11.2K
F icon
197
Ford
F
$55.7B
$140K 0.05%
12,029
– –
LCTX icon
198
Lineage Cell Therapeutics
LCTX
$278M
$43K 0.02%
14,288
– –
ENFY
199
DELISTED
Enlightify Inc
ENFY
$13K ﹤0.01%
833
– –
CRTO icon
200
Criteo S.A. Ordinary Shares
CRTO
$923M
– –
-9,315
Closed -$383K
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
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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 Q1 2017 Portfolio in Review

As of Q1 2017, Regent Investment Management held 215 positions worth $265M, up 36% from $195M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

Regent Investment Management deployed $58.3M of net new capital in Q1 2017, opening 30 new positions and adding to 63 existing holdings. Its largest new stake was Charter Communications: 10,276 shares worth $3.36M.

By sector, the portfolio is most concentrated in Healthcare at 21% of assets, down from 24% a quarter earlier, followed by Financials and Communication Services.

On the sell side, the largest reduction was iShares Russell 2000 Value ETF, an estimated $931K trimmed.

  • Regent Investment Management's largest Q1 2017 buy was Charter Communications: 10,276 shares worth $3.36M.
  • Regent Investment Management added most to Comcast in Q1 2017, an estimated $3.51M increase.
  • Regent Investment Management's biggest Q1 2017 reduction was iShares Russell 2000 Value ETF, cutting an estimated $931K.
  • Regent Investment Management fully exited Spectra Energy Corp Wi in Q1 2017, selling an estimated $1.83M.
  • Regent Investment Management's ten largest holdings make up 25% of its $265M portfolio in Q1 2017.
  • Regent Investment Management opened 30 new positions and closed 12 in Q1 2017.
  • Regent Investment Management's portfolio value rose 36% quarter-over-quarter to $265M.

Based on Regent Investment Management's 13F filing for Q1 2017, filed 17 Apr 2017.