Regent Investment Management LLC

Regent Investment Management LLC, established in mid-2012, offers investment supervisory services to individuals, institutions, and various entities. The firm's founding principals have been providing services since 1997. Regent's investment strategies include separately-managed accounts tailored to individual client objectives and a momentum strategy. The firm primarily invests in equity securities, warrants, corporate and municipal bonds, mutual funds, private funds, U.S. government securities, and options. Clients complete an investment questionnaire to align their goals and risk tolerance with portfolio management. Regent manages assets on a discretionary basis, with some non-discretionary assets. The firm may recommend retirement plan rollovers, acting as a fiduciary under ERISA and the Internal Revenue Code. Regent may introduce clients to unaffiliated private investments, providing observations on terms and risks. The firm's fee structure includes an annual management fee of 0.95%, payable quarterly, with potential fee reductions based on account type. Regent does not receive performance-based fees and acts as a fiduciary, aiming to act in clients' best interests. The firm's investment philosophy focuses on long-term investments, risk control, and sector momentum. Regent's principals have no disciplinary history, and the firm's custody arrangements involve third-party custodians sending statements directly to clients. Regent has a proxy voting policy and follows a third-party service for proxy voting. The firm's principals have educational backgrounds and experience in finance and investment management, with CFA designations. Regent's Chief Compliance Officer oversees compliance with the firm's policies and procedures, including the Code of Ethics.