0001559968-15-000002.txt : 20150114
0001559968-15-000002.hdr.sgml : 20150114
20150114112751
ACCESSION NUMBER: 0001559968-15-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150114
DATE AS OF CHANGE: 20150114
EFFECTIVENESS DATE: 20150114
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: 15526479
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
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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
01-14-2015
0
195
194801
INFORMATION TABLE
2
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SOLE
11000
0
3000
YAHOO INC
COM
984332106
326
6450
SH
SOLE
5950
0
500
YUM BRANDS INC
COM
988498101
1014
13920
SH
SOLE
7670
0
6250
ISHARES MSCI EMRG MKT FD EMERG
ETF
464287234
306
7784
SH
SOLE
5784
0
2000
ISHARES NASDAQ BIO ETF NASDAQ
ETF
464287556
575
1895
SH
SOLE
1895
0
0
ISHARES RUSSELL GROWTH MIDCAP
ETF
464287481
240
2575
SH
SOLE
2575
0
0
ISHARES TR MSCI EAFE ETF
ETF
464287465
530
8705
SH
SOLE
8705
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
1672
17484
SH
SOLE
17484
0
0
ISHARES TR RUSSELL 2000 GROWTH
ETF
464287648
1788
12555
SH
SOLE
12555
0
0
ISHARES TR RUSSELL 2000 VALUE
ETF
464287630
250
2461
SH
SOLE
2461
0
0
ISHARES U S PFD ETF U S PFD ST
ETF
464288687
512
12992
SH
SOLE
8392
0
4600
ISHARES US TRANSN AVG TRANSPOR
ETF
464287192
415
2530
SH
SOLE
2530
0
0
POWERSHARES EXCH TRADEDFD TR I
ETF
73936t565
315
21450
SH
SOLE
21450
0
0
POWERSHS EXCH TRAD FD TR POWER
ETF
73935x229
209
11450
SH
SOLE
3950
0
7500
SCHW EMG MKT EQ ETF
ETF
808524706
411
17188
SH
SOLE
12688
0
4500
SCHW US BRD MKT ETF
ETF
808524102
296
5936
SH
SOLE
5936
0
0
SECTOR SPDR HEALTH FUND SHARES
ETF
81369y209
528
7725
SH
SOLE
7725
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
1289
32197
SH
SOLE
22822
0
9375
CRESUD SACIF YA 15 WTS F WARRA
WT
p3311r192
1
89740
SH
SOLE
50760
0
38980