Regent Investment Management LLC

CIK

1559968

Location

Louisville, KY

Portfolio Value

Small $320,411,570

Diversification

Diversified

Filing Date

Global Rank

#2,403 / 6,948 ▲ 26 · as of Dec 2022

Top Industry

Drug Manufacturers - General 11.2%

3Y Alpha vs SPY

-1.0%

Period ended 3 years ago

Filed Jan 26, 2023 · 3y

12 quarters · since Mar 2020

Clone Performance

Jul 2023–Jul 2026 · vs SPY

Hypothetical growth of cloning every reported 13F position and rebalancing on each filing, indexed to the same start.

Cloned portfolio

+73.5%

SPY

+76.5%

Annualised alpha

-0.7%

Max drawdown

−16.1%

Estimate. 13F holdings are quarter-lagged and long-only, so the clone rebalances about 45 days after each period end — when the filing becomes public — and excludes options and short positions. Past performance does not predict future results.

Portfolio Concentration

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

Top Position

7.6%

−1.3 pts

Top 5

21.8%

−1.7 pts

Top 10

32.8%

−2.2 pts

HHI

186

Diversified−26

Portfolio Trend

12 quarters · across all stocks

Sector Breakdown

As of Dec 31, 2022

Sector	% Portfolio	Value	Positions
Healthcare	22.8%	$73,206,051	27
Technology	21.8%	$69,954,501	29
Financial Services	16.0%	$51,218,869	26
Consumer Defensive	8.6%	$27,492,668	16
Consumer Cyclical	8.1%	$25,930,164	17
Communication Services	6.0%	$19,169,733	10
Industrials	5.6%	$17,803,254	15
Energy	4.3%	$13,931,246	11
Basic Materials	3.1%	$10,074,262	6
Utilities	1.8%	$5,878,231	8
Real Estate	1.1%	$3,585,347	8
Unclassified	0.7%	$2,167,244	1

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 /De/	+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	$379,840
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 /New	+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	$461,057
MSFT	Microsoft Corp	+325	59,898	$14,364,737
QCOM	Qualcomm Inc/De	+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
V	Visa Inc.	+155	18,025	$3,744,874
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
C	Citigroup Inc	−9,766	25,341	$1,146,173
PPLI	People Inc	−8,070	6,825	$248,589
CMCSA	Comcast Corp	−6,738	85,904	$2,815,426
META	Meta Platforms, Inc.	−5,569	34,742	$4,180,852
PVH	Pvh Corp. /De/	−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	$341,175
VTRS	Viatris Inc	−2,379	38,477	$428,248
INTC	Intel Corp	−2,225	19,541	$516,468
ON	On Semiconductor Corp	−2,032	19,215	$1,198,439
TTWO	Take Two Interactive Software Inc	−1,920	12,460	$1,297,459
XYZ	Block, Inc.	−1,695	6,577	$413,298
PFE	Pfizer Inc	−1,475	109,392	$5,605,246
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
HPQ	Hp Inc	−950	25,530	$685,991
CSCO	Cisco Systems, Inc.	−900	44,063	$2,099,161
WMB	Williams Companies, Inc.	−760	130,295	$4,286,705
MTCH	Match Group, Inc.	−755	12,030	$499,124
MS	Morgan Stanley	−745	41,625	$3,538,957
TJX	Tjx Companies Inc /De/	−725	45,989	$3,660,724
MDT	Medtronic plc	−700	4,190	$325,646
No positions match the current search.

New Positions

Positions the filer opened this quarter

7 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/Nv	4,204	$224,745
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

174 positions · $320,411,570 total · 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 174 positions by value · page 1 of 4

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AAPL	Apple Inc. Technology	Reduced	187,159	-3,608	$24,317,568	−7.8%	7.59%
MSFT	Microsoft Corp Technology	Added	59,898	+325	$14,364,737	+3.5%	4.48%
JPM	Jpmorgan Chase & Co Financial Services	Added	90,766	+186	$12,171,720	+28.6%	3.80%
JNJ	Johnson & Johnson Healthcare	Reduced	62,210	-1	$10,989,396	+8.1%	3.43%
CVS	CVS HEALTH Corp Healthcare	Reduced	85,936	-1,149	$8,008,375	−3.6%	2.50%
PG	PROCTER & GAMBLE Co Consumer Defensive	Added	48,656	+20	$7,374,303	+20.1%	2.30%
AMZN	Amazon Com Inc Consumer Cyclical	Added	85,665	+1,370	$7,195,860	−24.5%	2.25%
BMY	Bristol Myers Squibb Co Healthcare	Reduced	95,901	-1,110	$6,900,076	+0.1%	2.15%
MRK	Merck & Co., Inc. Healthcare	Reduced	61,937	-595	$6,871,909	+27.6%	2.14%
QCOM	Qualcomm Inc/De Technology	Added	61,840	+310	$6,798,689	−2.2%	2.12%
PFE	Pfizer Inc Healthcare	Reduced	109,392	-1,475	$5,605,246	+15.5%	1.75%
MCK	Mckesson Corp Healthcare	Reduced	14,105	-45	$5,291,067	+10.0%	1.65%
BAC	Bank Of America Corp /De/ Financial Services	Added	153,351	+11,795	$5,078,985	+18.8%	1.59%
UNH	Unitedhealth Group Inc Healthcare	Added	9,246	+24	$4,902,044	+5.3%	1.53%
GOOGL	Alphabet Inc. Communication Services	Added	53,870	+2,040	$4,752,950	−4.1%	1.48%
RTX	RTX Corp Industrials	Reduced	45,795	-140	$4,621,631	+22.9%	1.44%
WMB	Williams Companies, Inc. Energy	Reduced	130,295	-760	$4,286,705	+14.2%	1.34%
META	Meta Platforms, Inc. Communication Services	Reduced	34,742	-5,569	$4,180,852	−23.6%	1.30%
LOW	Lowes Companies Inc Consumer Cyclical	Added	20,646	+234	$4,113,509	+7.3%	1.28%
V	Visa Inc. Financial Services	Added	18,025	+155	$3,744,874	+18.0%	1.17%
TJX	Tjx Companies Inc /De/ Consumer Cyclical	Reduced	45,989	-725	$3,660,724	+26.2%	1.14%
TMO	Thermo Fisher Scientific Inc. Healthcare	Reduced	6,608	-40	$3,638,959	+7.9%	1.14%
MS	Morgan Stanley Financial Services	Reduced	41,625	-745	$3,538,957	+5.7%	1.10%
AMP	Ameriprise Financial Inc Financial Services	Held	10,713	0	$3,335,706	+23.6%	1.04%
ABBV	AbbVie Inc. Healthcare	Reduced	20,488	-100	$3,311,064	+19.8%	1.03%
WSBC	Wesbanco Inc Financial Services	Reduced	89,087	-3,800	$3,294,437	+6.3%	1.03%
CVX	Chevron Corp Energy	Added	17,962	+100	$3,223,999	+25.6%	1.01%
ALB	Albemarle Corp Basic Materials	Added	13,980	+620	$3,031,702	−14.2%	0.95%
SWKS	Skyworks Solutions, Inc. Technology	Reduced	32,225	-75	$2,936,664	+6.6%	0.92%
TTC	Toro Co Industrials	Held	25,480	0	$2,884,336	+30.9%	0.90%
CMCSA	Comcast Corp Communication Services	Reduced	85,904	-6,738	$2,815,426	+10.6%	0.88%
NKE	NIKE, Inc. Consumer Cyclical	NEW	23,875	NEW	$2,793,613	NEW	0.87%
HD	Home Depot, Inc. Consumer Cyclical	Reduced	8,584	-50	$2,711,342	+13.8%	0.85%
MU	Micron Technology Inc Technology	Reduced	54,118	-4,102	$2,704,817	−7.3%	0.84%
AXP	American Express Co Financial Services	Reduced	17,951	-115	$2,652,260	+8.8%	0.83%
MA	Mastercard Inc Financial Services	Added	7,560	+75	$2,628,838	+23.5%	0.82%
MOS	Mosaic Co Basic Materials	Reduced	59,030	-440	$2,589,646	−9.9%	0.81%
KO	Coca Cola Co Consumer Defensive	Held	40,108	0	$2,551,269	+13.5%	0.80%
ORCL	Oracle Corp Technology	Reduced	30,922	-170	$2,527,564	+33.1%	0.79%
PEP	Pepsico Inc Consumer Defensive	Added	13,449	+295	$2,429,696	+13.1%	0.76%
VZ	Verizon Communications Inc Communication Services	Added	57,804	+5,065	$2,277,477	+13.7%	0.71%
FISV	Fiserv Inc	Reduced	21,443	-155	$2,167,244	+7.2%	0.68%
CSCO	Cisco Systems, Inc. Technology	Reduced	44,063	-900	$2,099,161	+16.7%	0.66%
FCX	Freeport-Mcmoran Inc Basic Materials	Reduced	54,010	-340	$2,052,380	+38.2%	0.64%
GIS	General Mills Inc Consumer Defensive	Reduced	24,385	-250	$2,044,682	+8.3%	0.64%
WDAY	Workday, Inc. Technology	Held	11,990	0	$2,006,286	+9.9%	0.63%
PRU	Prudential Financial Inc Financial Services	Reduced	19,815	-30	$1,970,799	+15.8%	0.62%
ABT	Abbott Laboratories Healthcare	Held	17,302	0	$1,899,586	+13.5%	0.59%
COST	Costco Wholesale Corp /New Consumer Defensive	Added	4,057	+2,352	$1,852,020	+130.0%	0.58%
CAH	Cardinal Health Inc Healthcare	Reduced	23,655	-465	$1,818,359	+13.1%	0.57%