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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
HBAN icon
326
Huntington Bancshares
HBAN
$35.5B
$36K 0.01%
4,434
– –
ING icon
327
ING
ING
$102B
$36K 0.01%
+3,176
New +$34.3K
PARA
328
DELISTED
Paramount Global Class B
PARA
$36K 0.01%
653
– –
SNY icon
329
Sanofi
SNY
$104B
$36K 0.01%
+716
New +$36.4K
BHP icon
330
BHP
BHP
$230B
$35K 0.01%
+633
New +$34.4K
EWA icon
331
iShares MSCI Australia ETF
EWA
$1.45B
$35K 0.01%
1,403
+1,000
+248% +$24K
OIH icon
332
VanEck Oil Services ETF
OIH
$1.92B
$35K 0.01%
+38
New +$34.8K
OMCC
333
DELISTED
Old Market Capital Corp
OMCC
$35K 0.01%
2,172
– –
HSBC.PRA
334
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$35K 0.01%
1,450
– –
AVP
335
DELISTED
Avon Products, Inc.
AVP
$35K 0.01%
1,717
-540
-24% -$11.6K
MWO.CL
336
DELISTED
MORGAN STANLEY CAPITAL TRUST V
MWO.CL
$35K 0.01%
1,500
– –
CFN
337
DELISTED
CAREFUSION CORPORATION
CFN
$35K 0.01%
959
– –
PID icon
338
Invesco International Dividend Achievers ETF
PID
$919M
$34K 0.01%
2,000
– –
VO icon
339
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$34K 0.01%
1,336
– –
HOG icon
340
Harley-Davidson
HOG
$2.71B
$33K 0.01%
519
+28
+6% +$1.66K
ADBE icon
341
Adobe
ADBE
$105B
$32K 0.01%
+622
New +$29.7K
HPQ icon
342
HP
HPQ
$27.5B
$32K 0.01%
3,371
– –
PKB icon
343
Invesco Building & Construction ETF
PKB
$453M
$32K 0.01%
1,600
– –
C.PRS
344
DELISTED
CITIGROUP CAP IX 6.0% TR PFD
C.PRS
$32K 0.01%
1,300
-400
-24% -$10K
ABT icon
345
Abbott
ABT
$187B
$31K 0.01%
942
-800
-46% -$28.1K
AZN icon
346
AstraZeneca
AZN
$250B
$31K 0.01%
+616
New +$30.9K
COKE icon
347
Coca-Cola Consolidated
COKE
$12.8B
$31K 0.01%
5,100
-10,000
-66% -$63.6K
ILCV icon
348
iShares Morningstar Value ETF
ILCV
$1.35B
$31K 0.01%
+850
New +$31.9K
MER.PRK
349
Bank of America Income Capital Obligation Notes due December 15 2066
MER.PRK
$1.06B
$31K 0.01%
1,300
– –
MET icon
350
MetLife
MET
$62.1B
$31K 0.01%
745
– –
12 13
14
15 16

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NFG
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6M
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RFA
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CCT
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C
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CC
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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.