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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
AAPL icon
1
Apple
AAPL
$4.96T
$4.95M 2.78%
247,212
+14,784
+6% +$279K
CVS icon
2
CVS Health
CVS
$138B
$4.65M 2.61%
64,916
+4,275
+7% +$275K
JNJ icon
3
Johnson & Johnson
JNJ
$659B
$4.35M 2.44%
47,480
+3,375
+8% +$311K
GOOG icon
4
Alphabet (Google) Class C
GOOG
$3.98T
$4.13M 2.31%
147,832
+401
+0.3% +$10.1K
WBA
5
DELISTED
Walgreens Boots Alliance
WBA
$3.95M 2.22%
68,770
-20
-0% -$1.16K
FFKT
6
DELISTED
Farmers Capital Bank Corp
FFKT
$3.75M 2.1%
172,202
– –
JPM icon
7
JPMorgan Chase
JPM
$947B
$3.55M 1.99%
60,745
+22,784
+60% +$1.25M
GILD icon
8
Gilead Sciences
GILD
$166B
$3.46M 1.94%
46,092
+10,485
+29% +$730K
PG icon
9
Procter & Gamble
PG
$355B
$3.4M 1.91%
41,766
+4,726
+13% +$385K
DEO icon
10
Diageo
DEO
$49.1B
$3.26M 1.83%
24,594
+2,395
+11% +$306K
MCK icon
11
McKesson
MCK
$103B
$3.24M 1.82%
20,058
-137
-0.7% -$21K
CVX icon
12
Chevron
CVX
$381B
$3.19M 1.79%
25,519
+246
+1% +$29.7K
M icon
13
Macy's
M
$6.58B
$3.18M 1.78%
59,545
+2,750
+5% +$133K
KO icon
14
Coca-Cola
KO
$384B
$2.79M 1.57%
67,585
+16,765
+33% +$661K
IBM icon
15
IBM
IBM
$206B
$2.58M 1.45%
14,391
+105
+0.7% +$18.1K
VFC icon
16
VF Corp
VFC
$6.82B
$2.49M 1.4%
42,417
-883
-2% -$46K
TWX
17
DELISTED
Time Warner Inc
TWX
$2.34M 1.31%
35,055
-652
-2% -$42.1K
ESRX
18
DELISTED
Express Scripts Holding Company
ESRX
$2.31M 1.3%
32,962
+100
+0.3% +$6.53K
DD
19
DELISTED
Du Pont De Nemours E I
DD
$2.26M 1.27%
36,690
+2,433
+7% +$141K
WMB icon
20
Williams Companies
WMB
$86.1B
$2.1M 1.18%
54,505
-1,800
-3% -$64.7K
KMI icon
21
Kinder Morgan
KMI
$71.3B
$2.07M 1.16%
57,560
+8,205
+17% +$287K
PRU icon
22
Prudential Financial
PRU
$42.7B
$2.05M 1.15%
22,265
+300
+1% +$25.6K
HAL icon
23
Halliburton
HAL
$26.8B
$2.02M 1.14%
39,910
+7,015
+21% +$363K
GIS icon
24
General Mills
GIS
$20.1B
$2.02M 1.13%
40,483
-4,125
-9% -$205K
LRFC
25
DELISTED
Logan Ridge Finance Corp
LRFC
$1.99M 1.12%
16,666
+5,644
+51% +$652K
1
2 3 4 5

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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.