0001559968-14-000009.txt : 20141023
0001559968-14-000009.hdr.sgml : 20141023
20141022184417
ACCESSION NUMBER: 0001559968-14-000009
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141023
DATE AS OF CHANGE: 20141022
EFFECTIVENESS DATE: 20141023
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Regent Investment Management LLC
CENTRAL INDEX KEY: 0001559968
IRS NUMBER: 454951312
STATE OF INCORPORATION: KY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15055
FILM NUMBER: 141168518
BUSINESS ADDRESS:
STREET 1: 4350 BROWNSBORO ROAD
STREET 2: SUITE 120
CITY: LOUISVILLE
STATE: KY
ZIP: 40207
BUSINESS PHONE: 502-719-1000
MAIL ADDRESS:
STREET 1: 4350 BROWNSBORO ROAD
STREET 2: SUITE 120
CITY: LOUISVILLE
STATE: KY
ZIP: 40207
13F-HR
1
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XXXXXXXX
09-30-2014
09-30-2014
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Regent Investment Management LLC
4350 Brownsboro Road
Suite 120
Louisville
KY
40207
13F HOLDINGS REPORT
028-15055
N
STEVEN T. NAISER
VICE PRESIDENT
502-719-1000
STEVEN T. NAISER
LOUISVILLE
KY
10-22-2014
0
191
195056
INFORMATION TABLE
2
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0
0
ISHARES RUSSELL GROWTH MIDCAP
ETF
464287481
1221
13815
SH
SOLE
13815
0
0
ISHARES RUSSELL VALUE MIDCAP V
ETF
464287473
1694
24202
SH
SOLE
24202
0
0
ISHARES TR MSCI EAFE ETF
ETF
464287465
558
8705
SH
SOLE
8705
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
1597
17434
SH
SOLE
17434
0
0
ISHARES TR RUSSELL 2000 GROWTH
ETF
464287648
217
1675
SH
SOLE
1675
0
0
ISHARES TR RUSSELL 2000 VALUE
ETF
464287630
230
2461
SH
SOLE
2461
0
0
ISHARES U S PFD ETF U S PFD ST
ETF
464288687
395
9992
SH
SOLE
9992
0
0
POWERSHARES EXCH TRADEDFD TR I
ETF
73936t565
291
20100
SH
SOLE
20100
0
0
POWERSHS EXCH TRAD FD TR POWER
ETF
73935x229
206
11450
SH
SOLE
11450
0
0
SCHW EMG MKT EQ ETF
ETF
808524706
437
17188
SH
SOLE
17188
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
1385
33197
SH
SOLE
33197
0
0
CRESUD SACIF YA 15 WTS F WARRA
WT
p3311r192
3
100950
SH
SOLE
100950
0
0