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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
+1.65%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$189M
AUM Growth
+$10.9M
Cap. Flow
+$8.72M
Cap. Flow %
4.61%
Top 10 Hldgs %
23.02%
Holding
202
New
17
Increased
68
Reduced
53
Closed
14

Top Buys

Rank Stock Value
1
PG icon
Procter & Gamble
PG
+$944K
2
IWN icon
iShares Russell 2000 Value ETF
IWN
+$792K
3
LLY icon
Eli Lilly
LLY
+$761K
4
VZ icon
Verizon
VZ
+$706K
5
CELG
Celgene Corp
CELG
+$684K

Top Sells

Rank Stock Value
1
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$1.01M
2
SE
Spectra Energy Corp Wi
SE
+$637K
3
VOD icon
Vodafone
VOD
+$630K
4
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$530K
5
IYT icon
iShares US Transportation ETF
IYT
+$528K

Sector Composition

Rank Sector Weight
1 Healthcare 23.24%
2 Consumer Staples 11.99%
3 Financials 11.89%
4 Energy 11.42%
5 Technology 9.8%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CVS icon
1
CVS Health
CVS
$138B
$5.33M 2.82%
71,226
+6,310
+10% +$446K
JNJ icon
2
Johnson & Johnson
JNJ
$656B
$5M 2.64%
50,897
+3,417
+7% +$317K
AAPL icon
3
Apple
AAPL
$4.95T
$4.81M 2.54%
251,132
+3,920
+2% +$74.6K
WBA
4
DELISTED
Walgreens Boots Alliance
WBA
$4.74M 2.5%
71,755
+2,985
+4% +$188K
GOOG icon
5
Alphabet (Google) Class C
GOOG
$4.02T
$4.34M 2.3%
156,545
+8,713
+6% +$254K
PG icon
6
Procter & Gamble
PG
$355B
$4.33M 2.29%
53,749
+11,983
+29% +$944K
JPM icon
7
JPMorgan Chase
JPM
$946B
$3.97M 2.1%
65,355
+4,610
+8% +$266K
FFKT
8
DELISTED
Farmers Capital Bank Corp
FFKT
$3.87M 2.04%
172,202
– –
M icon
9
Macy's
M
$6.67B
$3.62M 1.91%
60,970
+1,425
+2% +$79.2K
DEO icon
10
Diageo
DEO
$49.5B
$3.54M 1.87%
28,379
+3,785
+15% +$472K
MCK icon
11
McKesson
MCK
$102B
$3.52M 1.86%
19,958
-100
-0.5% -$17.5K
GILD icon
12
Gilead Sciences
GILD
$167B
$3.52M 1.86%
49,717
+3,625
+8% +$284K
CVX icon
13
Chevron
CVX
$379B
$2.94M 1.56%
24,769
-750
-3% -$87.2K
IBM icon
14
IBM
IBM
$210B
$2.69M 1.42%
14,600
+209
+1% +$36.8K
KO icon
15
Coca-Cola
KO
$386B
$2.63M 1.39%
67,892
+307
+0.5% +$11.9K
HAL icon
16
Halliburton
HAL
$26.5B
$2.55M 1.35%
43,370
+3,460
+9% +$185K
VFC icon
17
VF Corp
VFC
$6.92B
$2.5M 1.32%
42,970
+553
+1% +$31.1K
ESRX
18
DELISTED
Express Scripts Holding Company
ESRX
$2.42M 1.28%
32,247
-715
-2% -$53.5K
VZ icon
19
Verizon
VZ
$202B
$2.35M 1.24%
49,363
+14,929
+43% +$706K
DD
20
DELISTED
Du Pont De Nemours E I
DD
$2.33M 1.23%
36,479
-211
-0.6% -$12.9K
TWX
21
DELISTED
Time Warner Inc
TWX
$2.27M 1.2%
36,286
+1,231
+4% +$77.3K
LRFC
22
DELISTED
Logan Ridge Finance Corp
LRFC
$2.22M 1.17%
19,186
+2,520
+15% +$300K
WMB icon
23
Williams Companies
WMB
$85.4B
$2.16M 1.14%
53,255
-1,250
-2% -$50.6K
CELG
24
DELISTED
Celgene Corp
CELG
$2.14M 1.13%
30,704
+8,640
+39% +$684K
KMI icon
25
Kinder Morgan
KMI
$71.2B
$2.02M 1.07%
62,280
+4,720
+8% +$158K
1
2 3 4 5

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MPAM
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Regent Investment Management's Q1 2014 Portfolio in Review

As of Q1 2014, Regent Investment Management held 202 positions worth $189M, up 6.1% from $178M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

Regent Investment Management deployed $8.72M of net new capital in Q1 2014, opening 17 new positions and adding to 68 existing holdings. Its largest new stake was Eli Lilly: 13,630 shares worth $802K.

By sector, the portfolio is most concentrated in Healthcare at 23% of assets, up from 22% a quarter earlier, followed by Consumer Staples and Financials.

On the sell side, the largest reduction was Vodafone, an estimated $630K trimmed.

  • Regent Investment Management's largest Q1 2014 buy was Eli Lilly: 13,630 shares worth $802K.
  • Regent Investment Management added most to Procter & Gamble in Q1 2014, an estimated $944K increase.
  • Regent Investment Management's biggest Q1 2014 reduction was Vodafone, cutting an estimated $630K.
  • Regent Investment Management fully exited iShares Russell 1000 Growth ETF in Q1 2014, selling an estimated $1.01M.
  • Regent Investment Management's ten largest holdings make up 23% of its $189M portfolio in Q1 2014.
  • Regent Investment Management opened 17 new positions and closed 14 in Q1 2014.
  • Regent Investment Management's portfolio value rose 6.1% quarter-over-quarter to $189M.

Based on Regent Investment Management's 13F filing for Q1 2014, filed 14 Apr 2014.