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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
SEP
276
DELISTED
Spectra Engy Parters Lp
SEP
$52K 0.02%
1,200
– –
WNA.PR.CL
277
DELISTED
WACHOVIA PFD FUNDING CORP PERP PFD SECS SERA
WNA.PR.CL
$52K 0.02%
2,000
– –
ESV
278
DELISTED
Ensco Rowan plc
ESV
$51K 0.02%
240
– –
FWONA icon
279
Liberty Media Series A
FWONA
$23.6B
$50K 0.02%
1,919
– –
XEL icon
280
Xcel Energy
XEL
$48.8B
$50K 0.02%
1,838
– –
XYL icon
281
Xylem
XYL
$28.1B
$50K 0.02%
1,800
-100
-5% -$2.67K
ZF
282
DELISTED
Virtus Total Return Fund Inc.
ZF
$50K 0.02%
3,750
– –
VYM icon
283
Vanguard High Dividend Yield ETF
VYM
$82.8B
$49K 0.02%
865
– –
AUXL
284
DELISTED
AUXILIUM PHARAMCEUTICALS INC
AUXL
$49K 0.02%
2,700
– –
DBA icon
285
Invesco DB Agriculture Fund
DBA
$1.23B
$48K 0.02%
1,900
-80
-4% -$2K
IVE icon
286
iShares S&P 500 Value ETF
IVE
$49.8B
$48K 0.02%
620
– –
JXI icon
287
iShares Global Utilities ETF
JXI
$311M
$48K 0.02%
+1,111
New +$48K
MTD icon
288
Mettler-Toledo International
MTD
$28.6B
$48K 0.02%
200
– –
TXN icon
289
Texas Instruments
TXN
$261B
$48K 0.02%
1,211
– –
HYS icon
290
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.75B
$47K 0.02%
450
– –
TMO icon
291
Thermo Fisher Scientific
TMO
$220B
$47K 0.02%
520
– –
XLV icon
292
State Street Health Care Select Sector SPDR ETF
XLV
$42.7B
$47K 0.02%
932
– –
LNCE
293
DELISTED
Snyders-Lance, Inc.
LNCE
$47K 0.02%
1,633
+200
+14% +$5.8K
JPM.PRD.CL
294
DELISTED
JPMorgan Chase & Co.
JPM.PRD.CL
$47K 0.02%
2,230
– –
DON icon
295
WisdomTree US MidCap Dividend Fund
DON
$4.09B
$45K 0.02%
1,950
– –
GLW icon
296
Corning
GLW
$143B
$45K 0.02%
3,110
– –
NVR icon
297
NVR
NVR
$17B
$45K 0.02%
50
– –
VGT icon
298
Vanguard Information Technology ETF
VGT
$149B
$45K 0.02%
4,480
+3,792
+551% +$37.3K
AON icon
299
Aon
AON
$76B
$44K 0.02%
600
– –
DBD
300
DELISTED
Diebold Nixdorf Incorporated
DBD
$44K 0.02%
1,500
– –
10 11
12
13 14

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TU
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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
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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.