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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
HSIC icon
251
Henry Schein
HSIC
$9.82B
$62K 0.02%
1,530
– –
PSK icon
252
State Street SPDR ICE Preferred Securities ETF
PSK
$685M
$61K 0.02%
1,500
– –
UUP icon
253
Invesco DB US Dollar Index Bullish Fund
UUP
$422M
$60K 0.02%
2,775
– –
IJR icon
254
iShares Core S&P Small-Cap ETF
IJR
$112B
$59K 0.02%
1,200
– –
ROK icon
255
Rockwell Automation
ROK
$49B
$59K 0.02%
554
– –
PXD
256
DELISTED
Pioneer Natural Resource Co.
PXD
$59K 0.02%
316
– –
HSH
257
DELISTED
HILLSHIRE BRANDS CO
HSH
$59K 0.02%
1,929
– –
AEP icon
258
American Electric Power
AEP
$68.4B
$57K 0.02%
1,326
-359
-21% -$16K
COR icon
259
Cencora
COR
$61.2B
$57K 0.02%
937
+804
+605% +$47K
PGHY icon
260
Invesco Global ex-US High Yield Corporate Bond ETF
PGHY
$227M
$57K 0.02%
+2,300
New +$57.4K
SIAL
261
DELISTED
SIGMA - ALDRICH CORP
SIAL
$57K 0.02%
670
– –
BEN icon
262
Franklin Resources
BEN
$17.2B
$56K 0.02%
1,113
-204
-15% -$9.85K
EMN icon
263
Eastman Chemical
EMN
$8.42B
$56K 0.02%
730
– –
FHN icon
264
First Horizon
FHN
$12.1B
$56K 0.02%
5,162
-474
-8% -$5.59K
POT
265
DELISTED
Potash Corp Of Saskatchewan
POT
$56K 0.02%
1,803
+1,775
+6,339% +$58.8K
AIVI icon
266
WisdomTree International AI Enhanced Value Fund
AIVI
$63.9M
$55K 0.02%
1,220
– –
DEM icon
267
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.98B
$55K 0.02%
1,080
+400
+59% +$20.1K
BAC.PRZ
268
DELISTED
BAC CAPITAL TRUST VIII GTD.CAP. SECS
BAC.PRZ
$54K 0.02%
2,200
– –
KDP icon
269
Keurig Dr Pepper
KDP
$40.8B
$53K 0.02%
1,200
– –
ADRA
270
DELISTED
Invesco BLDRS Asia 50 ADR Index Fund
ADRA
$53K 0.02%
+1,850
New +$52.2K
ITT icon
271
ITT
ITT
$19.1B
$52K 0.02%
1,450
+100
+7% +$3.33K
META icon
272
Meta Platforms (Facebook)
META
$1.51T
$52K 0.02%
1,044
+100
+11% +$3.72K
WAT icon
273
Waters Corp
WAT
$39.9B
$52K 0.02%
495
– –
RTN
274
DELISTED
Raytheon Company
RTN
$52K 0.02%
687
– –
BPL
275
DELISTED
Buckeye Partners, L.P.
BPL
$52K 0.02%
800
– –
9 10
11
12 13

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6M
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RFA
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CCT
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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.