Regent Investment Management LLC

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Assets, Funds, Holdings

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Regent Investment Management LLC
CRD #164372
SEC #801-76730
CIK #0001559968
AUM $434.6 MM (100% Disc, 100% US, 2020-06-17)
Employees 4 (75% Investors, 0% Brokers)
Phone502-719-1000
Address4350 Brownsboro Rd
Louisville, KY 40207
Source [IAPD] [EDGAR] [Website]
Total AUM ($MM)
4503602701809002010201320172021
Sector Form 13F Holdings Cap ($MM) Value ($MM)
AAPL 674,750.0 24.7
AMZN 733,590.0 15.5
FB 378,590.0 12.5
MSFT 747,660.0 12.0
JPM 324,630.0 9.2
JNJ 346,110.0 9.2
HZNP 3,270.0 9.2
QCOM 67,520.0 7.8
BFB 7.1
PG 229,010.0 7.0
View All
Holdings by Sector ($MM)
3502802101407002012201520182021
Type Form D Funds Date Sold ($MM) AUM ($MM)
HF Bonaparte Partners L P [2012-03-30] 18.6 13.6
HF Snowbird Partners LP [2012-03-30] 13.3 10.7
Form D Directors # Filings # Firms 2011 - 2021
William Jenkins 12
Mainstream Advisers LLC 5
Martin McClelland 5
Regent Investment Management LLC 4
Regent Management LLC 2
EDGAR Form CIK 2011 - 2021
13F-HR [0001559968]
Comparable Firms State AUM ($BB)
Seelaus Asset Management LLC
NJ 0.4
12th Street Asset Management LLC
TN 0.4
Saracen Capital LP
TX 0.4
Cerebellum GP LLC
CA 0.4
Ackerman Capital Advisors LLC
TX 0.4
Gables Capital Management Inc
FL 0.4
Kelleher Financial Advisors LLC
NY 0.4
JW Coons Advisors LLC
OH 0.4
Pinnacle Holdings LLC
OK 0.4
Beryl Capital Management LLC
CA 0.4
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