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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
S
326
DELISTED
Sprint Corporation
S
$36K 0.01%
3,407
+1,774
+109% +$13.4K
DTV
327
DELISTED
DIRECTV COM STK (DE)
DTV
$36K 0.01%
527
– –
AZN icon
328
AstraZeneca
AZN
$250B
$35K 0.01%
606
-10
-2% -$543
BIDU icon
329
Baidu
BIDU
$37.2B
$35K 0.01%
+200
New +$32.3K
HOG icon
330
Harley-Davidson
HOG
$2.71B
$35K 0.01%
519
– –
HSBC.PRA
331
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
– –
LO
332
DELISTED
LORILLARD INC COM STK
LO
$35K 0.01%
700
-200
-22% -$9.96K
PL
333
DELISTED
PROTECTIVE LIFE CORP
PL
$35K 0.01%
704
– –
FDX icon
334
FedEx
FDX
$75.4B
$34K 0.01%
239
+39
+20% +$5.16K
KMB icon
335
Kimberly-Clark
KMB
$36.5B
$34K 0.01%
349
+51
+17% +$5.09K
TLGT
336
DELISTED
Teligent, Inc
TLGT
$34K 0.01%
+1,125
New +$28.7K
MWO.CL
337
DELISTED
MORGAN STANLEY CAPITAL TRUST V
MWO.CL
$33K 0.01%
1,500
– –
MER.PRK
338
Bank of America Income Capital Obligation Notes due December 15 2066
MER.PRK
$1.06B
$32K 0.01%
1,300
– –
TRIP icon
339
TripAdvisor
TRIP
$1.26B
$32K 0.01%
387
+7
+2% +$573
VOT icon
340
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.9B
$32K 0.01%
361
– –
XLF icon
341
State Street Financial Select Sector SPDR ETF
XLF
$58.2B
$32K 0.01%
+1,709
New +$31.4K
UPL
342
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$32K 0.01%
1,500
– –
C.PRS
343
DELISTED
CITIGROUP CAP IX 6.0% TR PFD
C.PRS
$32K 0.01%
1,300
– –
EBAY icon
344
eBay
EBAY
$49.8B
$31K 0.01%
1,359
+249
+22% +$5.51K
PH icon
345
Parker-Hannifin
PH
$135B
$31K 0.01%
242
– –
TDC icon
346
Teradata
TDC
$2.55B
$31K 0.01%
700
– –
TPR icon
347
Tapestry
TPR
$32.8B
$31K 0.01%
560
-25
-4% -$1.35K
ABT icon
348
Abbott
ABT
$187B
$30K 0.01%
792
-150
-16% -$5.53K
COR icon
349
Cencora
COR
$61.2B
$30K 0.01%
440
-497
-53% -$33.4K
PHO icon
350
Invesco Water Resources ETF
PHO
$2.09B
$30K 0.01%
1,150
– –
12 13
14
15 16

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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.