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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
DIA icon
301
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46.5B
$43K 0.02%
288
+48
+20% +$7.33K
FOF icon
302
Cohen & Steers Closed End Opportunity Fund
FOF
$380M
$43K 0.02%
3,500
– –
ABBV icon
303
AbbVie
ABBV
$435B
$42K 0.02%
942
-100
-10% -$4.43K
ANF icon
304
Abercrombie & Fitch
ANF
$5B
$42K 0.02%
1,204
– –
BP icon
305
BP
BP
$107B
$42K 0.02%
+1,248
New +$42.8K
CCI icon
306
Crown Castle
CCI
$32.2B
$42K 0.02%
580
+380
+190% +$27.2K
KEY icon
307
KeyCorp
KEY
$24.4B
$42K 0.02%
3,710
– –
MNK
308
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$42K 0.02%
+953
New +$41.8K
AIVL icon
309
WisdomTree US AI Enhanced Value Fund
AIVL
$436M
$41K 0.02%
650
– –
VNQ icon
310
Vanguard Real Estate ETF
VNQ
$39B
$41K 0.02%
633
– –
BIIB icon
311
Biogen
BIIB
$30.7B
$40K 0.02%
169
+64
+61% +$14.3K
TAP icon
312
Molson Coors Class B
TAP
$8.09B
$40K 0.02%
805
– –
WFC.PRN
313
DELISTED
WELLS FARGO & COMPANY Depositary Shares, representing a 1/1,000th interest in a share of Non-Cumulat
WFC.PRN
$40K 0.02%
1,920
– –
LO
314
DELISTED
LORILLARD INC COM STK
LO
$40K 0.02%
900
– –
AMLP icon
315
Alerian MLP ETF
AMLP
$12.8B
$39K 0.01%
452
+232
+105% +$20.5K
CL icon
316
Colgate-Palmolive
CL
$74.4B
$39K 0.01%
666
+266
+67% +$15.8K
MCK icon
317
McKesson
MCK
$101B
$39K 0.01%
310
– –
RFG icon
318
Invesco S&P MidCap 400 Pure Growth ETF
RFG
$358M
$39K 0.01%
+1,765
New +$38K
BBT.PRG
319
DELISTED
BB&T Corporation Depositary Shares each representing 1/1,000th interest in a share of Series G Non-C
BBT.PRG
$39K 0.01%
2,010
– –
BCV
320
Bancroft Fund
BCV
$139M
$38K 0.01%
2,146
– –
TDC icon
321
Teradata
TDC
$2.55B
$38K 0.01%
700
– –
TJX icon
322
TJX Companies
TJX
$178B
$38K 0.01%
1,360
– –
TWO
323
Two Harbors Investment
TWO
$1.27B
$38K 0.01%
500
– –
COL
324
DELISTED
Rockwell Collins
COL
$37K 0.01%
554
– –
DNP icon
325
DNP Select Income Fund
DNP
$4.09B
$36K 0.01%
3,849
+1,849
+92% +$18.3K
11 12
13
14 15

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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
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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
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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.