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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
EBAY icon
376
eBay
EBAY
$49.8B
$26K 0.01%
1,110
– –
EEM icon
377
iShares MSCI Emerging Markets ETF
EEM
$29.5B
$26K 0.01%
649
– –
KMB icon
378
Kimberly-Clark
KMB
$36.5B
$26K 0.01%
298
-51
-15% -$4.72K
PH icon
379
Parker-Hannifin
PH
$135B
$26K 0.01%
242
– –
YHOO
380
DELISTED
Yahoo Inc
YHOO
$26K 0.01%
800
-500
-38% -$14.1K
BLE
381
DELISTED
BlackRock Municipal Income Trust II
BLE
$25K 0.01%
1,816
– –
IJK icon
382
iShares S&P Mid-Cap 400 Growth ETF
IJK
$11.2B
$25K 0.01%
732
– –
JWN
383
DELISTED
Nordstrom
JWN
$25K 0.01%
+455
New +$26.9K
PRU icon
384
Prudential Financial
PRU
$41.8B
$25K 0.01%
323
-823
-72% -$64.6K
PTH icon
385
Invesco Dorsey Wright Healthcare Momentum ETF
PTH
$239M
$25K 0.01%
1,770
– –
SLV icon
386
iShares Silver Trust
SLV
$30.7B
$25K 0.01%
+1,197
New +$24.7K
FRN
387
DELISTED
Invesco Frontier Markets ETF
FRN
$25K 0.01%
1,500
– –
IXC icon
388
iShares Global Energy ETF
IXC
$2.76B
$24K 0.01%
600
– –
SLM icon
389
SLM Corp
SLM
$5.15B
$24K 0.01%
2,798
– –
VOD icon
390
Vodafone
VOD
$37.4B
$24K 0.01%
+691
New +$21.8K
XNTK icon
391
State Street SPDR NYSE Technology ETF
XNTK
$2.23B
$24K 0.01%
600
– –
RJI
392
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Total Return
RJI
$24K 0.01%
3,000
– –
HBI
393
DELISTED
Hanesbrands
HBI
$23K 0.01%
1,540
– –
MDY icon
394
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.3B
$23K 0.01%
+105
New +$23.3K
NEE.PRC.CL
395
DELISTED
Fpl Group Capital Trust I
NEE.PRC.CL
$23K 0.01%
975
– –
PWE
396
DELISTED
Penn West Energy Petroleum Ltd
PWE
$23K 0.01%
2,150
– –
FDX icon
397
FedEx
FDX
$75.4B
$22K 0.01%
200
– –
ITW icon
398
Illinois Tool Works
ITW
$84.5B
$22K 0.01%
300
+70
+30% +$5.12K
UNH icon
399
UnitedHealth
UNH
$370B
$22K 0.01%
310
– –
VFC icon
400
VF Corp
VFC
$5.89B
$22K 0.01%
472
– –
14 15
16
17 18

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NFG
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6M
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RFA
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CCT
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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.