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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
REGN icon
351
Regeneron Pharmaceuticals
REGN
$80.8B
$31K 0.01%
100
– –
TPR icon
352
Tapestry
TPR
$32.8B
$31K 0.01%
585
+465
+388% +$25.6K
TTE icon
353
TotalEnergies
TTE
$190B
$31K 0.01%
+343,343,867
New +$34.3K
WBA
354
DELISTED
Walgreens Boots Alliance
WBA
$31K 0.01%
585
-37
-6% -$1.86K
DTV
355
DELISTED
DIRECTV COM STK (DE)
DTV
$31K 0.01%
527
– –
AGO.PRF
356
DELISTED
Assured Guaranty Municipal Holdings Inc. 5.60% Notes due 2103
AGO.PRF
$31K 0.01%
1,500
– –
VOT icon
357
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.9B
$30K 0.01%
+361
New +$29.9K
UPL
358
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$30K 0.01%
1,500
– –
WIN
359
DELISTED
Windstream Holdings Inc
WIN
$30K 0.01%
483
– –
GS.PRI.CL
360
DELISTED
The Goldman Sachs Group, Inc.
GS.PRI.CL
$30K 0.01%
1,365
– –
WFM
361
DELISTED
Whole Foods Market Inc
WFM
$30K 0.01%
+514
New +$28.4K
AKZOY
362
DELISTED
Akzo Nobel NV
AKZOY
$30K 0.01%
+1,392
New +$30K
R icon
363
Ryder
R
$10.1B
$29K 0.01%
500
– –
TSLA icon
364
Tesla
TSLA
$1.3T
$29K 0.01%
2,250
– –
BBBY
365
DELISTED
Bed Bath & Beyond Inc
BBBY
$29K 0.01%
375
– –
MHFI
366
DELISTED
MCGRAW-HILL FINANCIAL INC COM
MHFI
$29K 0.01%
456
– –
PL
367
DELISTED
PROTECTIVE LIFE CORP
PL
$29K 0.01%
704
– –
EL icon
368
Estee Lauder
EL
$32B
$28K 0.01%
410
+390
+1,950% +$26.4K
EW icon
369
Edwards Lifesciences
EW
$51.7B
$28K 0.01%
2,454
– –
GS.PRC icon
370
Goldman Sachs Group Inc Series C Preferred Stock
GS.PRC
$153M
$28K 0.01%
1,400
– –
TRIP icon
371
TripAdvisor
TRIP
$1.26B
$28K 0.01%
380
– –
IGD
372
Voya Global Equity Dividend and Premium Opportunity Fund
IGD
$517M
$27K 0.01%
3,000
– –
PHO icon
373
Invesco Water Resources ETF
PHO
$2.09B
$27K 0.01%
1,150
– –
TT icon
374
Trane Technologies
TT
$106B
$27K 0.01%
530
– –
WPC icon
375
W.P. Carey
WPC
$16.4B
$27K 0.01%
441
– –
13 14
15
16 17

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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.