REGENT INVESTMENT MANAGEMENT LLC
CRD #164372 SEC #801-76730 LOUISVILLE, KY 502-719-1000
SEC Registered
Total AUM
$478.5M
Discretionary
$478.5M
Employees
4
Clients
--
Accounts
401
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Kentucky
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 11, 2022
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| REGENT GROUP INC | DE | SOLE MEMBER | E | Control |
| REGENT GROUP INC | DE | SOLE MEMBER | E | Control |
| REGENT GROUP INC | DE | SOLE MEMBER | E | Control |
| REGENT GROUP INC | DE | SOLE MEMBER | E | Control |
| REGENT GROUP INC | DE | SOLE MEMBER | E | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | CHIEF EXECUTIVE OFFICER | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| MCCLELLAND, MARTIN, NELSON | I | PRESIDENT | D | Control |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | B | |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| NAISER, STEVEN, TODD | I | CHIEF COMPLIANCE OFFICER | B | Control |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | A | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | A | |
| JONES, MARY, DENNIS | I | PORTFOLIO MANAGER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MCCLELLAND, MARTIN, NELSON | I | THE REGENT GROUP, INC. | E | Control |
| MCCLELLAND, MARTIN, NELSON | I | THE REGENT GROUP, INC. | E | Control |
| MCCLELLAND, MARTIN, NELSON | I | THE REGENT GROUP, INC. | E | Control |
| MCCLELLAND, MARTIN, NELSON | I | THE REGENT GROUP, INC. | E | Control |
| MCCLELLAND, MARTIN, NELSON | I | THE REGENT GROUP, INC. | E | Control |
Registrations
Federal
IA
Oct 11, 2022 REGISTERED
Notice Filings (6)
CA CO FL KY NC TX
Address
4350 BROWNSBORO RDSUITE 120
LOUISVILLE, KY 40207
United States
Phone: 502-719-1000