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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
+4.57%
1 Year Est. Return
-10.22%
3 Year Est. Return
+44.01%
5 Year Est. Return
+79.05%
10 Year Est. Return
–
AUM
$297M
AUM Growth
+$12.8M
Cap. Flow
+$1.71M
Cap. Flow %
0.57%
Top 10 Hldgs %
25.89%
Holding
221
New
10
Increased
48
Reduced
83
Closed
11

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$1.93M
2
DD icon
DuPont de Nemours
DD
+$1.73M
3
HUM icon
Humana
HUM
+$1.51M
4
MRK icon
Merck
MRK
+$1.33M
5
ANIP icon
ANI Pharmaceuticals
ANIP
+$1.31M

Top Sells

Rank Stock Value
1
DD
Du Pont De Nemours E I
DD
+$1.6M
2
CHTR icon
Charter Communications
CHTR
+$1.54M
3
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$1.06M
4
HEDJ icon
WisdomTree Europe Hedged Equity Fund
HEDJ
+$934K
5
SCHW
Charles Schwab
SCHW
+$915K

Sector Composition

Rank Sector Weight
1 Healthcare 20.45%
2 Financials 15.97%
3 Technology 14.79%
4 Communication Services 12.03%
5 Consumer Discretionary 11.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JPM icon
1
JPMorgan Chase
JPM
$939B
$10.1M 3.39%
105,462
+8,171
+8% +$754K
META icon
2
Meta Platforms (Facebook)
META
$1.51T
$10M 3.38%
58,741
+1,050
+2% +$175K
AAPL icon
3
Apple
AAPL
$4.89T
$9.55M 3.21%
247,748
+1,092
+0.4% +$42.4K
CELG
4
DELISTED
Celgene Corp
CELG
$7.95M 2.68%
54,494
+2,210
+4% +$301K
FFKT
5
DELISTED
Farmers Capital Bank Corp
FFKT
$6.91M 2.33%
164,318
– –
WBA
6
DELISTED
Walgreens Boots Alliance
WBA
$6.8M 2.29%
88,017
+8,294
+10% +$665K
DXC icon
7
DXC Technology
DXC
$1.63B
$6.7M 2.25%
90,128
+6,210
+7% +$441K
GOOG icon
8
Alphabet (Google) Class C
GOOG
$3.9T
$6.65M 2.24%
138,680
+100
+0.1% +$4.66K
BKNG icon
9
Booking.com
BKNG
$138B
$6.16M 2.07%
84,100
-9,650
-10% -$732K
JNJ icon
10
Johnson & Johnson
JNJ
$635B
$6.08M 2.05%
46,786
+169
+0.4% +$22.4K
CVS icon
11
CVS Health
CVS
$137B
$5.36M 1.8%
65,894
-600
-0.9% -$47.5K
PG icon
12
Procter & Gamble
PG
$343B
$4.94M 1.66%
54,295
-8,632
-14% -$786K
BF.B icon
13
Brown-Forman Class B
BF.B
$12B
$4.71M 1.58%
135,434
– –
AMZN icon
14
Amazon
AMZN
$2.5T
$4.4M 1.48%
91,540
+39,360
+75% +$1.93M
MS icon
15
Morgan Stanley
MS
$337B
$4.27M 1.44%
88,660
+3,350
+4% +$155K
CMCSA icon
16
Comcast
CMCSA
$79.1B
$3.95M 1.33%
102,704
-12,881
-11% -$507K
MRK icon
17
Merck
MRK
$324B
$3.83M 1.29%
62,727
+21,988
+54% +$1.33M
TWX
18
DELISTED
Time Warner Inc
TWX
$3.79M 1.28%
37,034
-500
-1% -$50.7K
BRK.B icon
19
Berkshire Hathaway Class B
BRK.B
$1.07T
$3.53M 1.19%
19,277
-3,955
-17% -$699K
GOOGL icon
20
Alphabet (Google) Class A
GOOGL
$3.91T
$3.38M 1.14%
69,520
-2,700
-4% -$128K
FDX icon
21
FedEx
FDX
$74.5B
$3.38M 1.14%
14,975
+525
+4% +$112K
CAVM
22
DELISTED
Cavium, Inc.
CAVM
$3.38M 1.14%
51,210
+2,870
+6% +$182K
LOW icon
23
Lowe's Companies
LOW
$116B
$3.21M 1.08%
40,192
+55
+0.1% +$4.21K
ENB icon
24
Enbridge
ENB
$124B
$3.19M 1.07%
76,300
-4,305
-5% -$175K
MCK icon
25
McKesson
MCK
$98.5B
$3.16M 1.06%
20,569
-30
-0.1% -$4.68K
1
2 3 4 5

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Regent Investment Management's Q3 2017 Portfolio in Review

As of Q3 2017, Regent Investment Management held 221 positions worth $297M, up 4.5% from $284M the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Regent Investment Management's Q3 2017 filing shows 10 new, 48 increased, 83 reduced and 11 closed positions. Its largest new stake was ANI Pharmaceuticals: 27,450 shares worth $1.44M. The largest sale was Du Pont De Nemours E I, an estimated $1.6M.

By sector, the portfolio is most concentrated in Healthcare at 20% of assets, up from 20% a quarter earlier, followed by Financials and Technology.

  • Regent Investment Management's largest Q3 2017 buy was ANI Pharmaceuticals: 27,450 shares worth $1.44M.
  • Regent Investment Management added most to Amazon in Q3 2017, an estimated $1.93M increase.
  • Regent Investment Management's biggest Q3 2017 reduction was Charter Communications, cutting an estimated $1.54M.
  • Regent Investment Management fully exited Du Pont De Nemours E I in Q3 2017, selling an estimated $1.6M.
  • Regent Investment Management's ten largest holdings make up 26% of its $297M portfolio in Q3 2017.
  • Regent Investment Management opened 10 new positions and closed 11 in Q3 2017.
  • Regent Investment Management's portfolio value rose 4.5% quarter-over-quarter to $297M.

Based on Regent Investment Management's 13F filing for Q3 2017, filed 12 Oct 2017.