REGENT INVESTMENT MANAGEMENT LLC

HTTP://WWW.REGENTINVEST.COM LOUISVILLE, KY Investment Advisor Hedge Fund How do I update this listing?

Regent Investment Management is based out of Louisville. Regent Investment Management is a hedge fund with 159 clients and discretionary assets under management (AUM) of $434,574,304 (Form ADV from 2020-06-17). Their last reported 13F filing for Q2 2020 included $301,022,000 in managed 13F securities and a top 10 holdings concentration of 34.87%. Regent Investment Management's largest holding is Apple Inc with shares held of 54,880. Regent Investment Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 32 13F filings

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06/30/2020

13F Activity

  • Market Value $301.022 Million
  • Prior Market Value $242.862 Million
  • New Purchases20 stocks
  • Additional Purchases54 stocks
  • Sold out of13 stocks
  • Reduced holdings in86 stocks
  • Top 10 Holdings % 34.87 %
  • Turnover % [1]:17.74%
  • Turnover Alt % [2]: 8.79 %
  • Time Held Top20:12.80 quarters
  • Time Held Top10:15.00 quarters
  • Time Held All:20.26 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 29.52%
Performance Last 4 Quarters: 4.04%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

REGENT INVESTMENT MANAGEMENT LLC
Classified as Hedge Fund
4350 BROWNSBORO RD SUITE 120
LOUISVILLE KY    40207
Country: United States

Business Phone: 502-719-1000
Fax: 502-719-1001
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: KY
Number of employees: 4
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 105,644,000
Total Number of Clients: 159
Amount of client funds and securities by related persons: 105,644,000
Total Number of clients from related persons: 32
Disclosures:
Data above was derived from SEC filings.

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REGENT INVESTMENT MANAGEMENT LLC

ownership team - last updated 2020-06-17
Name Title Start Date Direct/Indirect % Ownership
NAISER, STEVEN, TODD CHIEF COMPLIANCE OFFICER 04/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
THE REGENT GROUP, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2000-05-01
REGENT INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
REGENT GROUP INC VICE PRESIDENT direct 2000-05-01 2005-03-18
MAINSTREAM INVESTMENT ADVISERS LLC PORTFOLIO MANAGER AND DIRECTOR direct 2006-07-01 2012-03-30
MCCLELLAND, MARTIN, NELSON PRESIDENT 04/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
REGENT GROUP INC PRESIDENT direct 1999-01-01
REGENT INVESTMENT MANAGEMENT LLC PRESIDENT direct 2012-04-01
MAINSTREAM INVESTMENT ADVISERS LLC MANAGING DIRECTOR direct 2006-07-01 2009-03-31
MAINSTREAM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 1997-10-01 2012-03-30
MAINSTREAM INVESTMENT ADVISERS LLC MEMBER/MANAGING DIRECTOR direct 2006-07-01 2012-03-30
REGENT INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1997-10-01 2012-09-20
REGENT INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2012-04-01 2015-07-14
JONES, MARY, DENNIS PORTFOLIO MANAGER 10/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ATLAS BROWN, INC. EXECUTIVE VICE PRESIDENT direct 2005-03-01
REGENT INVESTMENT MANAGEMENT LLC PORTFOLIO MANAGER direct 2013-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BONAPARTE PARTNERS, L. P. United States 805-7577204142 Hedge Fund 13,591,931 200,000
SNOWBIRD PARTNERS, L.P. United States 805-2510102156 Hedge Fund 10,670,572 200,000

REGENT INVESTMENT MANAGEMENT LLC

ownership team - last updated 2020-03-03
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BONAPARTE PARTNERS, L. P. United States 805-7577204142 Hedge Fund 13,591,931 200,000
SNOWBIRD PARTNERS, L.P. United States 805-2510102156 Hedge Fund 10,670,572 200,000

REGENT INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-08-21
Name Title Start Date Direct/Indirect % Ownership
NAISER, STEVEN, TODD CHIEF COMPLIANCE OFFICER 04/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
THE REGENT GROUP, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2000-05-01
REGENT INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
REGENT GROUP INC VICE PRESIDENT direct 2000-05-01 2005-03-18
MAINSTREAM INVESTMENT ADVISERS LLC PORTFOLIO MANAGER AND DIRECTOR direct 2006-07-01 2012-03-30
MCCLELLAND, MARTIN, NELSON PRESIDENT 04/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
REGENT GROUP INC PRESIDENT direct 1999-01-01
REGENT INVESTMENT MANAGEMENT LLC PRESIDENT direct 2012-04-01
MAINSTREAM INVESTMENT ADVISERS LLC MANAGING DIRECTOR direct 2006-07-01 2009-03-31
MAINSTREAM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 1997-10-01 2012-03-30
MAINSTREAM INVESTMENT ADVISERS LLC MEMBER/MANAGING DIRECTOR direct 2006-07-01 2012-03-30
REGENT INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1997-10-01 2012-09-20
REGENT INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2012-04-01 2015-07-14
JONES, MARY, DENNIS PORTFOLIO MANAGER 10/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ATLAS BROWN, INC. EXECUTIVE VICE PRESIDENT direct 2005-03-01
REGENT INVESTMENT MANAGEMENT LLC PORTFOLIO MANAGER direct 2013-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BONAPARTE PARTNERS, L. P. United States 805-7577204142 Hedge Fund 12,448,218 200,000
SNOWBIRD PARTNERS, L.P. United States 805-2510102156 Hedge Fund 10,363,458 200,000

REGENT INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-04-02
Name Title Start Date Direct/Indirect % Ownership
NAISER, STEVEN, TODD CHIEF COMPLIANCE OFFICER 04/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
THE REGENT GROUP, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2000-05-01
REGENT INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
REGENT GROUP INC VICE PRESIDENT direct 2000-05-01 2005-03-18
MAINSTREAM INVESTMENT ADVISERS LLC PORTFOLIO MANAGER AND DIRECTOR direct 2006-07-01 2012-03-30
MCCLELLAND, MARTIN, NELSON PRESIDENT 04/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
REGENT GROUP INC PRESIDENT direct 1999-01-01
REGENT INVESTMENT MANAGEMENT LLC PRESIDENT direct 2012-04-01
MAINSTREAM INVESTMENT ADVISERS LLC MANAGING DIRECTOR direct 2006-07-01 2009-03-31
MAINSTREAM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 1997-10-01 2012-03-30
MAINSTREAM INVESTMENT ADVISERS LLC MEMBER/MANAGING DIRECTOR direct 2006-07-01 2012-03-30
REGENT INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1997-10-01 2012-09-20
REGENT INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2012-04-01 2015-07-14
JONES, MARY, DENNIS PORTFOLIO MANAGER 10/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ATLAS BROWN, INC. EXECUTIVE VICE PRESIDENT direct 2005-03-01
REGENT INVESTMENT MANAGEMENT LLC PORTFOLIO MANAGER direct 2013-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BONAPARTE PARTNERS, L. P. United States 805-7577204142 Hedge Fund 11,792,179 200,000
SNOWBIRD PARTNERS, L.P. United States 805-2510102156 Hedge Fund 10,301,193 200,000

REGENT INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-02-22
Name Title Start Date Direct/Indirect % Ownership
NAISER, STEVEN, TODD CHIEF COMPLIANCE OFFICER 04/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
THE REGENT GROUP, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2000-05-01
REGENT INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
REGENT GROUP INC VICE PRESIDENT direct 2000-05-01 2005-03-18
MAINSTREAM INVESTMENT ADVISERS LLC PORTFOLIO MANAGER AND DIRECTOR direct 2006-07-01 2012-03-30
MCCLELLAND, MARTIN, NELSON PRESIDENT 04/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
REGENT GROUP INC PRESIDENT direct 1999-01-01
REGENT INVESTMENT MANAGEMENT LLC PRESIDENT direct 2012-04-01
MAINSTREAM INVESTMENT ADVISERS LLC MANAGING DIRECTOR direct 2006-07-01 2009-03-31
MAINSTREAM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 1997-10-01 2012-03-30
MAINSTREAM INVESTMENT ADVISERS LLC MEMBER/MANAGING DIRECTOR direct 2006-07-01 2012-03-30
REGENT INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1997-10-01 2012-09-20
REGENT INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2012-04-01 2015-07-14
JONES, MARY, DENNIS PORTFOLIO MANAGER 10/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ATLAS BROWN, INC. EXECUTIVE VICE PRESIDENT direct 2005-03-01
REGENT INVESTMENT MANAGEMENT LLC PORTFOLIO MANAGER direct 2013-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BONAPARTE PARTNERS, L. P. United States 805-7577204142 Hedge Fund 11,792,179 200,000
SNOWBIRD PARTNERS, L.P. United States 805-2510102156 Hedge Fund 10,301,193 200,000

REGENT INVESTMENT MANAGEMENT LLC

ownership team - last updated 2017-03-06
Name Title Start Date Direct/Indirect % Ownership
NAISER, STEVEN, TODD CHIEF COMPLIANCE OFFICER 04/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
THE REGENT GROUP, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2000-05-01
REGENT INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
REGENT GROUP INC VICE PRESIDENT direct 2000-05-01 2005-03-18
MAINSTREAM INVESTMENT ADVISERS LLC PORTFOLIO MANAGER AND DIRECTOR direct 2006-07-01 2012-03-30
MCCLELLAND, MARTIN, NELSON PRESIDENT 04/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
REGENT GROUP INC PRESIDENT direct 1999-01-01
REGENT INVESTMENT MANAGEMENT LLC PRESIDENT direct 2012-04-01
MAINSTREAM INVESTMENT ADVISERS LLC MANAGING DIRECTOR direct 2006-07-01 2009-03-31
MAINSTREAM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 1997-10-01 2012-03-30
MAINSTREAM INVESTMENT ADVISERS LLC MEMBER/MANAGING DIRECTOR direct 2006-07-01 2012-03-30
REGENT INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1997-10-01 2012-09-20
REGENT INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2012-04-01 2015-07-14
JONES, MARY, DENNIS PORTFOLIO MANAGER 10/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ATLAS BROWN, INC. EXECUTIVE VICE PRESIDENT direct 2005-03-01
REGENT INVESTMENT MANAGEMENT LLC PORTFOLIO MANAGER direct 2013-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BONAPARTE PARTNERS, L. P. United States 805-7577204142 Hedge Fund 16,101,267 200,000
SNOWBIRD PARTNERS, L.P. United States 805-2510102156 Hedge Fund 9,976,243 200,000

WhaleScore history for REGENT INVESTMENT MANAGEMENT LLC

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