Regent Investment Management LLC

CIK

1559968

Location

Louisville, KY

Portfolio Value

Small $354,260,578

Diversification

Diversified

Filing Date

Global Rank

#3,070 / 7,091 ▲ 19 · as of Dec 2022

Top Industry

Drug Manufacturers - General 10.3%

Period ended 3 years ago

Filed Jan 26, 2023 · 3y

12 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Unknown

Portfolio style

Measured from the filed 13F common-share book for Dec 31, 2022, never from the firm's own description.

Style

Diversified active

Top 10 weight 32.5%, 55.6 effective positions, active share 46.3% against the S&P 500 as of 2022-12-31; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

6.8% over the last four quarters (under 30%)

Horizon

Horizon unknown

The value-weighted holding period is at least 11.5 quarters, but 88.4% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2022-12-31, active share 46.3%; sector active share 19.0% against the combined 13F book's sector weights.

Over time 12 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

199 tracked positions · as of Dec 31, 2022 · Δ vs Sep 30, 2022

Top Position

6.9%

−0.9 pts

Top 5

22.1%

−0.8 pts

Top 10

32.5%

−2.0 pts

HHI

180

Diversified−17

Portfolio Trend

12 quarters · across all stocks

Sector Breakdown

As of Dec 31, 2022

Sector	% Portfolio	Value	Positions
Technology	21.3%	$75,402,259	29
Healthcare	20.5%	$72,592,262	27
Financial Services	14.5%	$51,245,149	26
Consumer Defensive	10.1%	$35,923,402	18
Communication Services	8.8%	$31,000,590	11
Consumer Cyclical	7.8%	$27,634,392	17
Industrials	5.1%	$18,163,248	15
Energy	3.8%	$13,552,076	12
Basic Materials	2.8%	$10,074,262	6
Unclassified	2.6%	$9,077,172	22
Utilities	1.7%	$6,010,419	8
Real Estate	1.0%	$3,585,347	8

Last Quarter's Activity

Export CSV

Dec 31, 2022 vs Sep 30, 2022

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
USA	Liberty All Star Equity Fund	+30,000	222,500	$1,268,250
ARI	Apollo Commercial Real Estate Finance, Inc.	+16,800	36,200	$389,512
BAC	Bank Of America Corp	+11,795	153,351	$5,078,985
TCPC	BlackRock TCP Capital Corp.	+10,000	21,000	$271,740
FSLR	First Solar, Inc.	+7,135	8,830	$1,322,645
ET	Energy Transfer LP	+7,000	32,000	$380
VZ	Verizon Communications Inc	+5,065	57,804	$2,277,477
NEE	Nextera Energy Inc	+4,265	13,917	$1,163,461
HR	Healthcare Realty Trust Inc	+2,700	12,820	$247,041
COST	Costco Wholesale Corp	+2,352	4,057	$1,852,020
GOOGL	Alphabet Inc.	+2,040	53,870	$4,752,950
AMZN	Amazon Com Inc	+1,370	85,665	$7,195,860
KMI	Kinder Morgan, Inc.	+1,270	81,325	$1,470,356
NRG	Nrg Energy, Inc.	+935	39,150	$1,245,753
ALB	Albemarle Corp	+620	13,980	$3,031,702
SPGI	S&P Global Inc.	+555	1,455	$487,337
—		+500	58,025	$0
MSFT	Microsoft Corp	+325	59,898	$14,364,737
QCOM	Qualcomm Inc	+310	61,840	$6,798,689
PEP	Pepsico Inc	+295	13,449	$2,429,696
LOW	Lowes Companies Inc	+234	20,646	$4,113,509
DIS	Walt Disney Co	+220	20,308	$1,764,359
STAG	STAG Industrial, Inc.	+200	8,375	$270,596
JPM	Jpmorgan Chase & Co	+186	90,766	$12,171,720
EXE	EXPAND ENERGY Corp	+180	8,145	$768,643
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
GLOP	GasLog Partners LP	−15,000	43,582	$290
C	Citigroup Inc	−9,766	25,341	$1,146,173
AMZA	ETFis Series Trust I	−9,000	13,850	$437,937
PPLI	People Inc	−8,070	6,825	$303,030
CMCSA	Comcast Corp	−6,738	85,904	$3,004,059
META	Meta Platforms, Inc.	−5,569	34,742	$4,180,852
PVH	Pvh Corp.	−4,565	5,180	$365,656
MU	Micron Technology Inc	−4,102	54,118	$2,704,817
WSBC	Wesbanco Inc	−3,800	89,087	$3,294,437
AAPL	Apple Inc.	−3,608	187,159	$24,317,568
PANW	Palo Alto Networks Inc	−3,200	4,890	$682,350
VTRS	Viatris Inc	−2,379	38,477	$428,248
INTC	Intel Corp	−2,225	19,541	$516,468
—		−2,034	101,451	$11,545
ON	On Semiconductor Corp	−2,032	19,215	$1,198,439
TTWO	Take Two Interactive Software Inc	−1,920	12,460	$1,297,459
GOOG	Alphabet Inc.	−1,720	130,596	$11,587,783
XYZ	Block, Inc.	−1,695	6,577	$413,298
PFE	Pfizer Inc	−1,475	109,392	$5,605,246
—		−1,450	37,044	$1,384
TECK	Teck Resources Ltd	−1,160	34,652	$1,310,538
CVS	CVS HEALTH Corp	−1,149	85,936	$8,008,375
BMY	Bristol Myers Squibb Co	−1,110	95,901	$6,900,076
BF-B	Brown Forman Corp	−1,083	107,523	$7,062,110
HPQ	Hp Inc	−950	25,530	$685,991
No positions match the current search.

New Positions

Positions the filer opened this quarter

8 positions

Ticker	Company	Shares	Value
NKE	NIKE, Inc.	23,875	$2,793,613
CRM	Salesforce, Inc.	3,475	$460,750
ZBH	Zimmer Biomet Holdings, Inc.	1,800	$229,500
SLB	Slb Limited	4,204	$224,745
DGRO	iShares Core Dividend Growth ETF	4,345	$217,250
SO	Southern Co	2,900	$207,089
PNC	Pnc Financial Services Group, Inc.	1,305	$206,111
SHEL	Shell plc	3,597	$204,849
No positions match the current search.

Sold Out

Positions the filer fully exited

1 positions

Ticker	Company	Shares	Value	Open
LYB	LyondellBasell Industries N.V.	4,100	$308,648
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

199 tracked positions · $354,260,578 total · filing declares 231 positions · $373,278 · as of Dec 31, 2022

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 199 positions by value · page 1 of 4

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
AAPL	Apple Inc. Technology	Reduced	187,159	-3,608	$24,317,568	−7.8%	12+	before history	6.86%
MSFT	Microsoft Corp Technology	Added	59,898	+325	$14,364,737	+3.5%	12+	before history	4.05%
JPM	Jpmorgan Chase & Co Financial Services	Added	90,766	+186	$12,171,720	+28.6%	12+	before history	3.44%
GOOG	Alphabet Inc. Communication Services	Reduced	130,596	-1,720	$11,587,783	−8.9%	12+	before history	3.27%
JNJ	Johnson & Johnson Healthcare	Reduced	62,210	-1	$10,989,396	+8.1%	12+	before history	3.10%
CVS	CVS HEALTH Corp Healthcare	Reduced	85,936	-1,149	$8,008,375	−3.6%	12+	before history	2.26%
PG	PROCTER & GAMBLE Co Consumer Defensive	Added	48,656	+20	$7,374,303	+20.1%	12+	before history	2.08%
AMZN	Amazon Com Inc Consumer Cyclical	Added	85,665	+1,370	$7,195,860	−24.5%	12+	before history	2.03%
BF-B	Brown Forman Corp Consumer Defensive	Reduced	107,523	-1,083	$7,062,110	−2.3%	12+	before history	1.99%
BMY	Bristol Myers Squibb Co Healthcare	Reduced	95,901	-1,110	$6,900,076	+0.1%	12+	before history	1.95%
MRK	Merck & Co., Inc. Healthcare	Reduced	61,937	-595	$6,871,909	+27.6%	12+	before history	1.94%
QCOM	Qualcomm Inc Technology	Added	61,840	+310	$6,798,689	−2.2%	12+	before history	1.92%
PFE	Pfizer Inc Healthcare	Reduced	109,392	-1,475	$5,605,246	+15.5%	12+	before history	1.58%
MCK	Mckesson Corp Healthcare	Reduced	14,105	-45	$5,291,067	+10.0%	12+	before history	1.49%
AVGO	Broadcom Inc. Technology	Reduced	9,146	-155	$5,113,802	+23.8%	12+	before history	1.44%
BAC	Bank Of America Corp Financial Services	Added	153,351	+11,795	$5,078,985	+18.8%	12+	before history	1.43%
UNH	Unitedhealth Group Inc Healthcare	Added	9,246	+24	$4,902,044	+5.3%	12+	before history	1.38%
GOOGL	Alphabet Inc. Communication Services	Added	53,870	+2,040	$4,752,950	−4.1%	12+	before history	1.34%
RTX	RTX Corp Industrials	Reduced	45,795	-140	$4,621,631	+22.9%	11	unpriced	1.30%
WMB	Williams Companies, Inc. Energy	Reduced	130,295	-760	$4,286,705	+14.2%	12+	before history	1.21%
META	Meta Platforms, Inc. Communication Services	Reduced	34,742	-5,569	$4,180,852	−23.6%	12+	before history	1.18%
LOW	Lowes Companies Inc Consumer Cyclical	Added	20,646	+234	$4,113,509	+7.3%	12+	before history	1.16%
V	Visa Inc. Financial Services	Added	18,025	+155	$3,744,874	+18.0%	12+	before history	1.06%
TJX	Tjx Companies Inc Consumer Cyclical	Reduced	45,989	-725	$3,660,724	+26.2%	12+	before history	1.03%
TMO	Thermo Fisher Scientific Inc. Healthcare	Reduced	6,608	-40	$3,638,959	+7.9%	12+	before history	1.03%
MS	Morgan Stanley Financial Services	Reduced	41,625	-745	$3,538,957	+5.7%	12+	before history	1.00%
AMP	Ameriprise Financial Inc Financial Services	Held	10,713	0	$3,335,706	+23.6%	12+	before history	0.94%
ABBV	AbbVie Inc. Healthcare	Reduced	20,488	-100	$3,311,064	+19.8%	12+	before history	0.93%
WSBC	Wesbanco Inc Financial Services	Reduced	89,087	-3,800	$3,294,437	+6.3%	12+	before history	0.93%
CVX	Chevron Corp Energy	Added	17,962	+100	$3,223,999	+25.6%	12+	before history	0.91%
ALB	Albemarle Corp Basic Materials	Added	13,980	+620	$3,031,702	−14.2%	12+	before history	0.86%
CMCSA	Comcast Corp Communication Services	Reduced	85,904	-6,738	$3,004,059	+10.6%	12+	before history	0.85%
SWKS	Skyworks Solutions, Inc. Technology	Reduced	32,225	-75	$2,936,664	+6.6%	12+	before history	0.83%
TTC	Toro Co Industrials	Held	25,480	0	$2,884,336	+30.9%	11	$65.68	0.81%
NKE	NIKE, Inc. Consumer Cyclical	NEW	23,875	NEW	$2,793,613	NEW	1	$100.69	0.79%
HD	Home Depot, Inc. Consumer Cyclical	Reduced	8,584	-50	$2,711,342	+13.8%	12+	before history	0.77%
MU	Micron Technology Inc Technology	Reduced	54,118	-4,102	$2,704,817	−7.3%	12+	before history	0.76%
AXP	American Express Co Financial Services	Reduced	17,951	-115	$2,652,260	+8.8%	12+	before history	0.75%
MA	Mastercard Inc Financial Services	Added	7,560	+75	$2,628,838	+23.5%	12+	before history	0.74%
MOS	Mosaic Co Basic Materials	Reduced	59,030	-440	$2,589,646	−9.9%	10	$22.87	0.73%
KO	Coca Cola Co Consumer Defensive	Held	40,108	0	$2,551,269	+13.5%	12+	before history	0.72%
ORCL	Oracle Corp Technology	Reduced	30,922	-170	$2,527,564	+33.1%	12+	before history	0.71%
PEP	Pepsico Inc Consumer Defensive	Added	13,449	+295	$2,429,696	+13.1%	12+	before history	0.69%
VZ	Verizon Communications Inc Communication Services	Added	57,804	+5,065	$2,277,477	+13.7%	12+	before history	0.64%
FISV	Fiserv Inc	Reduced	21,443	-155	$2,167,244	+7.2%	11	$104.99	0.61%
CSCO	Cisco Systems, Inc. Technology	Reduced	44,063	-900	$2,099,161	+16.7%	12+	before history	0.59%
FCX	Freeport-Mcmoran Inc Basic Materials	Reduced	54,010	-340	$2,052,380	+38.2%	7	$35.73	0.58%
GIS	General Mills Inc Consumer Defensive	Reduced	24,385	-250	$2,044,682	+8.3%	12+	before history	0.58%
WDAY	Workday, Inc. Technology	Held	11,990	0	$2,006,286	+9.9%	12+	before history	0.57%
DHR	Danaher Corp Healthcare	Held	7,500	0	$1,990,649	+2.8%	12+	before history	0.56%

Showing the top 50 of 199 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.