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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
UTG icon
401
Reaves Utility Income Fund
UTG
$3.61B
$21K 0.01%
857
– –
VMO icon
402
Invesco Municipal Opportunity Trust
VMO
$663M
$21K 0.01%
1,829
– –
VTRS icon
403
Viatris
VTRS
$18.9B
$21K 0.01%
487
-92
-16% -$3.78K
BSJH
404
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
$21K 0.01%
+800
New +$21.6K
FTR
405
DELISTED
Frontier Communications Corp.
FTR
$21K 0.01%
313
+61
+24% +$4.17K
APH icon
406
Amphenol
APH
$209B
$20K 0.01%
1,840
– –
HUM icon
407
Humana
HUM
$46.2B
$20K 0.01%
200
– –
JAZZ icon
408
Jazz Pharmaceuticals
JAZZ
$16.7B
$20K 0.01%
160
– –
SPE
409
Special Opportunities Fund
SPE
$144M
$20K 0.01%
1,256
– –
SFE
410
DELISTED
Safeguard Scientifics, Inc.
SFE
$20K 0.01%
1,000
– –
RBS.PRE
411
DELISTED
RBS CAPITAL FUNDING TRUST V 5.9% CUMULATIVE GTD TR PFD SEC
RBS.PRE
$20K 0.01%
1,000
– –
HSH
412
DELISTED
HILLSHIRE BRANDS CO
HSH
$20K 0.01%
616
-1,313
-68% -$42.6K
AMLP icon
413
Alerian MLP ETF
AMLP
$12.8B
$19K 0.01%
220
-232
-51% -$20.4K
EES icon
414
WisdomTree US SmallCap Earnings Fund
EES
$731M
$19K 0.01%
708
– –
ISRG icon
415
Intuitive Surgical
ISRG
$134B
$19K 0.01%
450
– –
MRSH
416
Marsh
MRSH
$91.5B
$19K 0.01%
400
– –
NAT icon
417
Nordic American Tanker
NAT
$1.37B
$19K 0.01%
+2,066
New +$17.1K
SPXC icon
418
SPX Corp
SPXC
$10.8B
$19K 0.01%
794
– –
SXT icon
419
Sensient Technologies
SXT
$5.53B
$19K 0.01%
400
– –
UL icon
420
Unilever
UL
$136B
$19K 0.01%
430
+142
+49% +$6.36K
VIS icon
421
Vanguard Industrials ETF
VIS
$8.39B
$19K 0.01%
195
– –
QVCGA
422
DELISTED
QVC Group Inc Series A
QVCGA
$19K 0.01%
16
– –
RAD
423
DELISTED
Rite Aid Corporation
RAD
$19K 0.01%
197
+25
+15% +$2.66K
CELG
424
DELISTED
Celgene Corp
CELG
$19K 0.01%
226
– –
ETP
425
DELISTED
Energy Transfer Partners L.p.
ETP
$19K 0.01%
340
-11
-3% -$584
15 16
17
18 19

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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.