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CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
1-Year Est. Return 20.52%
This Fund
S&P 500
This Quarter Est. Return
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$265M
AUM Growth
+$61.2M
Cap. Flow
-$1.15M
Cap. Flow %
-0.43%
Top 10 Hldgs %
39.72%
Holding
975
New
167
Increased
121
Reduced
109
Closed
40

Top Buys

Rank Stock Value
1
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.5M
2
HTS
HATTERAS FINANCIAL CORP
HTS
+$1.46M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$1.44M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$1.06M
5
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$1.05M

Top Sells

Rank Stock Value
1
OAK
OAKTREE CAPITAL GROUP, LLC
OAK
+$4.74M
2
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$3.12M
3
XOM icon
ExxonMobil
XOM
+$1.8M
4
HNR
Harvest Natural Resources
HNR
+$1.62M
5
HRL icon
Hormel Foods
HRL
+$1.26M

Sector Composition

Rank Sector Weight
1 Financials 13.74%
2 Technology 10.07%
3 Energy 9.61%
4 Healthcare 7.12%
5 Industrials 4.95%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CNL
226
DELISTED
CLECO CRP (HOLDING CO)
CNL
$80K 0.03%
1,800
– –
ETN icon
227
Eaton
ETN
$174B
$79K 0.03%
1,162
– –
IGK.CL
228
DELISTED
ING GROEP NV PERPETUAL HYBRID CAP SEC (NL)
IGK.CL
$79K 0.03%
3,125
– –
CATO icon
229
Cato Corp
CATO
$66.1M
$77K 0.03%
2,763
– –
VIAB
230
DELISTED
Viacom Inc. Class B
VIAB
$77K 0.03%
924
– –
IWF icon
231
iShares Russell 1000 Growth ETF
IWF
$128B
$76K 0.03%
+3,928
New +$75.2K
SSB icon
232
SouthState Bank Corp
SSB
$10.5B
$76K 0.03%
1,381
– –
IWN icon
233
iShares Russell 2000 Value ETF
IWN
$14.6B
$75K 0.03%
+825
New +$74.4K
GS icon
234
Goldman Sachs
GS
$303B
$74K 0.03%
469
– –
CB
235
DELISTED
CHUBB CORPORATION
CB
$73K 0.03%
820
– –
SHW icon
236
Sherwin-Williams
SHW
$89.8B
$72K 0.03%
1,200
– –
GIS icon
237
General Mills
GIS
$19.7B
$71K 0.03%
1,484
– –
UNM icon
238
Unum
UNM
$14.3B
$71K 0.03%
+2,361
New +$72.5K
PAYX icon
239
Paychex
PAYX
$42.7B
$70K 0.03%
1,737
– –
VDC icon
240
Vanguard Consumer Staples ETF
VDC
$7.99B
$69K 0.03%
669
– –
DE icon
241
Deere & Co
DE
$168B
$68K 0.03%
838
+25
+3% +$2.08K
EELV icon
242
Invesco S&P Emerging Markets Low Volatility ETF
EELV
$428M
$68K 0.03%
2,500
– –
PFF icon
243
iShares Preferred and Income Securities ETF
PFF
$13.3B
$68K 0.03%
1,800
– –
SMB icon
244
VanEck Short Muni ETF
SMB
$312M
$67K 0.03%
3,871
– –
HAL icon
245
Halliburton
HAL
$26.6B
$66K 0.02%
1,379
+75
+6% +$3.51K
GMK
246
DELISTED
GRUMA SAB DE C V ADS(RP 4 B SHS
GMK
$66K 0.02%
+3,000
New +$62.8K
MDT icon
247
Medtronic
MDT
$112B
$64K 0.02%
1,220
+75
+7% +$4.04K
PTF icon
248
Invesco Dorsey Wright Technology Momentum ETF
PTF
$656M
$64K 0.02%
5,940
– –
USB icon
249
US Bancorp
USB
$99.6B
$64K 0.02%
1,771
– –
CEF icon
250
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$62K 0.02%
4,270
+300
+8% +$4.47K
8 9
10
11 12

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TU
TDAM USA Toronto, Ontario, Canada $1.61B AUM 28.05% 1-Year Est. Return
NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

Carroll Financial Associates's Q3 2013 Portfolio in Review

As of Q3 2013, Carroll Financial Associates held 975 positions worth $265M, up 30% from $204M the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Carroll Financial Associates's Q3 2013 filing shows 167 new, 121 increased, 109 reduced and 40 closed positions. Its largest new stake was Rio Tinto: 19,299 shares worth $941K. The largest sale was OAKTREE CAPITAL GROUP, LLC, an estimated $4.74M.

By sector, the portfolio is most concentrated in Financials at 14% of assets, down from 17% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q3 2013 buy was Rio Tinto: 19,299 shares worth $941K.
  • Carroll Financial Associates added most to CHAMBERS STR PPTYS COM in Q3 2013, an estimated $1.5M increase.
  • Carroll Financial Associates's biggest Q3 2013 reduction was OAKTREE CAPITAL GROUP, LLC, cutting an estimated $4.74M.
  • Carroll Financial Associates fully exited Hormel Foods in Q3 2013, selling an estimated $1.26M.
  • Carroll Financial Associates's ten largest holdings make up 40% of its $265M portfolio in Q3 2013.
  • Carroll Financial Associates opened 167 new positions and closed 40 in Q3 2013.
  • Carroll Financial Associates's portfolio value rose 30% quarter-over-quarter to $265M.

Based on Carroll Financial Associates's 13F filing for Q3 2013, filed 14 Nov 2013.