Regent Investment Management LLC

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Regent Investment Management LLC
CRD #164372
SEC #801-76730
CIK #0001559968, 0001861162
AUM
Employees 4 (75% Investors, 0% Brokers)
Fees
Minimum
Phone502-719-1000
Address4350 Brownsboro Rd
Louisville, KY 40207
Source [IAPD] [EDGAR] [Website]
Total AUM ($M)
60048036024012002009201420192025
Fees and Compensation — Form ADV Part 2A (10/11/2022) [Brochure]
Item 5 Fees and Compensation

Separately Managed Accounts for Individual Client Investment Objectives and Momentum Strategy

       Regent offers a percentage of assets under management fee structure for its accounts
       separately managed for your investment objectives and for accounts managed using
       the momentum strategy. We generally receive an annual management fee equal to
       0.95% of the closing value of the assets in your account, payable as set forth below.
       Currently, for balanced accounts and for certain advisory relationships, the annual
       fee is reduced to within a range of 0.40% to 0.925%. The fee is payable quarterly in
       advance (relating to the future time period) within the first thirty days after the end
       of each quarter and is equal to one-fourth of the applicable annual fee percentage
       multiplied by the closing value of your assets for the last full monthly period
       immediately preceding the last month of the quarterly period (i.e., the second month
       of the quarterly period). Your assets will be priced as reported on the statement sent
       to you by your custodian bank, trust company or brokerage firm, or as published by
       Interactive Data Corporation, Bloomberg, Yahoo! ® Finance, The Wall Street
       Journal or such other source we may determine in good faith in our sole discretion
       on a consistent basis. Certain clients, by agreement, pay management fees quarterly
       in arrears (relating to the past time period). You may select whether you prefer fees
       to be deducted directly from your account or to be billed for fees incurred.
       Although we have established the aforementioned fee schedules, we retain the
       discretion to negotiate alternative fees on a client-by-client basis. Client facts,
       circumstances and needs are considered in determining the fee schedule. These
       include the complexity of the client, assets to be placed under management,
       anticipated future additional assets, related accounts, portfolio style, and account
       composition, among other factors. From time to time, we may waive our
       management fees for principals and officers of our firm as well as their family
       members, and/or other clients in certain circumstances. As a result of the above,
       similarly situated clients could pay different fees. Conflict Of Interest. A small number
       of clients (fewer than five clients), by agreement, pay reduced annual management

       fee for certain asset classes versus other asset classes. In these cases, we can earn
       higher compensation by allocating more assets to higher-fee asset classes, which
       presents a conflict of interest. To mitigate this risk, we invest client accounts
       according to their investment objectives, as stated at the onset of our relationship
       with them and as updated from time to time.

Cash and Cash Equivalents. Included in the closing value of the assets in your account, upon which
our management fee is applied, is the value of cash and cash equivalents in your account.
Depending on the rate of interest paid on cash and cash equivalents by your custodian bank, trust
company or brokerage firm, our management fee may be more than the interest paid. We may from
time to time and on a temporary basis exclude the value of all or a portion of uninvested cash and
cash equivalents from our management fee calculation, when such cash and cash equivalent is being
reserved for eventual withdrawal, payment of external expenses, or such other circumstance as we
agree upon with you.

If your assets are invested in mutual funds or exchange-traded funds you will pay both a direct
management fee to Regent and indirect fees to the fund managers through the funds.

If your assets are invested in an unaffiliated private fund, you will pay both a direct management fee
to Regent and indirect fees to the fund sponsor through the unaffiliated private fund.

Fees for the quarter in which the account is opened or terminated will be prorated. For new
accounts, the prorated fee will be calculated based on the closing value of your assets on the date the
account was opened and funded, priced as reported by your custodian bank, trust company, or
brokerage firm, or as published by Interactive Data Corporation, Bloomberg, Yahoo! ® Finance,
The Wall Street Journal or such other source we may determine in good faith in our sole discretion
on a consistent basis.

You may also incur any custodial fees and brokerage and other transaction costs related to trading in
your account (for further explanation, please see Item 12 Brokerage Practices).

Retirement Rollovers and Employer-Sponsored Retirement Accounts

A client or prospective client is under no obligation to engage Regent as the investment adviser for
their retirement rollover and/or employer-sponsored retirement accounts. If a client does not
engage Regent as the investment adviser and continues to self-direct their retirement account at their
employer, the client will not incur a separate management fee as discussed above.

Termination. Under Regent’s current form of investment advisory agreement, either party can
terminate the agreement upon 30 days’ prior written notice to the other party. If you have paid any
management fees in advance, upon termination of the investment advisory agreement, we will
refund to you a pro rata portion of the management fee as of the termination date. For example, if

you pre-pay your fee for a three month billing period but terminate at the end of two months, one-
third of your fees will be refunded.
Account Minimums and Types of Clients — Form ADV Part 2A (10/11/2022) [Brochure]
Item 7 Types of Clients

Regent’s clients include:

       individuals,
       pension and profit-sharing plans,
       charitable organizations,
       trusts,
       estates,
       corporations, and
       other pooled investment vehicles.
Sector Form 13F Holdings Value ($B)
McKesson Corp 0.0
Broadcom Inc 0.0
Bank of America Corp /DE/ 0.0
UnitedHealth Group Inc 0.0
Alphabet Inc 0.0
United Technologies Corp /DE/ 0.0
Williams Companies Inc 0.0
Facebook Inc 0.0
Lowes Companies Inc 0.0
Visa Inc 0.0
View All
Holdings by Sector ($B)
120096072048024002011201620212027
Type Form D Funds Date Sold AUM
HF Bonaparte Partners L P [2012-03-30] 18.6 M 13.6 M
Filed 2020-02-28 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF Snowbird Partners LP [2012-03-30] 13.3 M 10.7 M
Filed 2020-02-28 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
AUM Breakdown Accounts AUM ($M)
By Client Type
(a) Individuals (other than high net worth individuals) 88 26.4
(b) Individuals (high net worth individuals) 77 371.3
(c) Banking or thrift institutions 0 0.0
(d) Investment companies 0 0.0
(e) Business development companies 0 0.0
(f) Pooled investment vehicles 0 0.0
(g) Pension and profit sharing plans 0 0.0
(h) Charitable organizations 0 50.3
(i) State or municipal government entities 0 0.0
(j) Other investment advisers 0 0.0
(k) Insurance companies 0 0.0
(l) Sovereign wealth funds and foreign official institutions 0 0.0
(m) Corporations or other businesses not listed above 0 30.5
(n) Other 0 0.0
Total 401 478.5
By Discretionary
Discretionary 401 478.5
Non-Discretionary 0 0.0
Total 401 478.5
By Non-United States Persons
Non-United States Persons 0.0
United States Persons 478.5
Total 401 478.5
Form D Directors Role # Filings # Firms 2011 - 2026
William Jenkins Executive Officer 13 3
Mainstream Advisers LLC Executive Officer 5 2
Martin McClelland Executive Officer 5 2
Regent Investment Management LLC Executive Officer 4 2
Regent Management LLC Executive Officer 2 1
EDGAR Form CIK 2011 - 2026
13F-HR [0001559968]
13F-NT [0001861162]
Firm Profile (Form ADV)
Discretionary AUM$0.2B
ServesInstitutional, Retail
Fund TypesHedge Fund
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