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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
+8.3%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$281M
AUM Growth
+$16.1M
Cap. Flow
-$4.46M
Cap. Flow %
-1.58%
Top 10 Hldgs %
40.21%
Holding
1,045
New
111
Increased
151
Reduced
177
Closed
110

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.38M
2
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$4.02M
3
IOO icon
iShares Global 100 ETF
IOO
+$2.4M
4
PSTB
Park Sterling Corp.
PSTB
+$1.86M
5
HRL icon
Hormel Foods
HRL
+$1.41M

Top Sells

Rank Stock Value
1
HTS
HATTERAS FINANCIAL CORP
HTS
+$3.61M
2
VIG icon
Vanguard Dividend Appreciation ETF
VIG
+$3.09M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.19M
4
PEBK icon
Peoples Bancorp of North Carolina
PEBK
+$1.26M
5
WU icon
Western Union
WU
+$1.21M

Sector Composition

Rank Sector Weight
1 Financials 13.16%
2 Energy 10.34%
3 Technology 9.46%
4 Healthcare 6.55%
5 Industrials 5.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
POT
251
DELISTED
Potash Corp Of Saskatchewan
POT
$64K 0.02%
1,962
+159
+9% +$5.07K
ESV
252
DELISTED
Ensco Rowan plc
ESV
$62K 0.02%
271
+31
+13% +$7.16K
PGX icon
253
Invesco Preferred ETF
PGX
$3.79B
$60K 0.02%
4,500
-10,325
-70% -$141K
AIVI icon
254
WisdomTree International AI Enhanced Value Fund
AIVI
$63.9M
$58K 0.02%
1,220
– –
ITT icon
255
ITT
ITT
$19.1B
$58K 0.02%
1,350
-100
-7% -$3.98K
KDP icon
256
Keurig Dr Pepper
KDP
$40.8B
$58K 0.02%
1,200
– –
PXD
257
DELISTED
Pioneer Natural Resource Co.
PXD
$58K 0.02%
316
– –
TMO icon
258
Thermo Fisher Scientific
TMO
$220B
$57K 0.02%
520
– –
TXN icon
259
Texas Instruments
TXN
$261B
$57K 0.02%
1,311
+100
+8% +$4.19K
XEL icon
260
Xcel Energy
XEL
$48.8B
$57K 0.02%
2,065
+227
+12% +$6.41K
BPL
261
DELISTED
Buckeye Partners, L.P.
BPL
$56K 0.02%
800
– –
XYL icon
262
Xylem
XYL
$28.1B
$55K 0.02%
1,600
-200
-11% -$6.43K
ZF
263
DELISTED
Virtus Total Return Fund Inc.
ZF
$55K 0.02%
3,750
– –
ADRA
264
DELISTED
Invesco BLDRS Asia 50 ADR Index Fund
ADRA
$54K 0.02%
1,850
– –
SEP
265
DELISTED
Spectra Engy Parters Lp
SEP
$54K 0.02%
1,200
– –
BAC.PRZ
266
DELISTED
BAC CAPITAL TRUST VIII GTD.CAP. SECS
BAC.PRZ
$54K 0.02%
2,200
– –
GLW icon
267
Corning
GLW
$143B
$53K 0.02%
3,010
-100
-3% -$1.65K
USB icon
268
US Bancorp
USB
$99.6B
$53K 0.02%
1,326
-445
-25% -$17.1K
VYM icon
269
Vanguard High Dividend Yield ETF
VYM
$82.8B
$53K 0.02%
865
– –
RTN
270
DELISTED
Raytheon Company
RTN
$53K 0.02%
587
-100
-15% -$8.35K
NNC
271
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
$53K 0.02%
4,513
-2,433
-35% -$29.3K
CEF icon
272
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$52K 0.02%
3,970
-300
-7% -$4.22K
HBAN icon
273
Huntington Bancshares
HBAN
$35.5B
$52K 0.02%
5,434
+1,000
+23% +$8.98K
SMB icon
274
VanEck Short Muni ETF
SMB
$312M
$52K 0.02%
3,000
-871
-23% -$15.3K
SIAL
275
DELISTED
SIGMA - ALDRICH CORP
SIAL
$52K 0.02%
560
-110
-16% -$9.56K
9 10
11
12 13

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6M
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Carroll Financial Associates's Q4 2013 Portfolio in Review

As of Q4 2013, Carroll Financial Associates held 1,045 positions worth $281M, up 6.1% from $265M the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Carroll Financial Associates's Q4 2013 filing shows 111 new, 151 increased, 177 reduced and 110 closed positions. Its largest new stake was Hormel Foods: 64,506 shares worth $1.46M. The largest sale was HATTERAS FINANCIAL CORP, an estimated $3.61M.

By sector, the portfolio is most concentrated in Financials at 13% of assets, down from 14% a quarter earlier, followed by Energy and Technology.

  • Carroll Financial Associates's largest Q4 2013 buy was Hormel Foods: 64,506 shares worth $1.46M.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q4 2013, an estimated $4.38M increase.
  • Carroll Financial Associates's biggest Q4 2013 reduction was HATTERAS FINANCIAL CORP, cutting an estimated $3.61M.
  • Carroll Financial Associates fully exited Selective Insurance in Q4 2013, selling an estimated $226K.
  • Carroll Financial Associates's ten largest holdings make up 40% of its $281M portfolio in Q4 2013.
  • Carroll Financial Associates opened 111 new positions and closed 110 in Q4 2013.
  • Carroll Financial Associates's portfolio value rose 6.1% quarter-over-quarter to $281M.

Based on Carroll Financial Associates's 13F filing for Q4 2013, filed 6 Feb 2014.