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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
BRW
426
Saba Capital Income & Opportunities Fund
BRW
$339M
$18K 0.01%
1,580
– –
DNP icon
427
DNP Select Income Fund
DNP
$4.09B
$18K 0.01%
2,000
-1,849
-48% -$17.8K
KXI icon
428
iShares Global Consumer Staples ETF
KXI
$1.07B
$18K 0.01%
440
– –
LBTYA icon
429
Liberty Global Class A
LBTYA
$3.6B
$18K 0.01%
495
+102
+26% +$3.42K
MSI icon
430
Motorola Solutions
MSI
$77.4B
$18K 0.01%
268
– –
PSMT icon
431
Pricesmart
PSMT
$5.46B
$18K 0.01%
160
-40
-20% -$4.5K
SJM icon
432
J.M. Smucker
SJM
$12.8B
$18K 0.01%
178
-4
-2% -$424
XLB icon
433
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$18K 0.01%
800
– –
FRX
434
DELISTED
FOREST LABORATORIES INC
FRX
$18K 0.01%
310
– –
DEG
435
DELISTED
ETABLISSEMENT DELHZ ADS 4 ADS REPTGS 1 ORD SHS
DEG
$18K 0.01%
1,252
– –
EXPE icon
436
Expedia Group
EXPE
$37.3B
$17K 0.01%
257
+7
+3% +$412
FXI icon
437
iShares China Large-Cap ETF
FXI
$4.31B
$17K 0.01%
450
– –
IXJ icon
438
iShares Global Healthcare ETF
IXJ
$4.18B
$17K 0.01%
406
– –
GWR
439
DELISTED
Genesee & Wyoming Inc.
GWR
$17K 0.01%
180
+30
+20% +$2.89K
AET
440
DELISTED
Aetna Inc
AET
$17K 0.01%
258
-19
-7% -$1.24K
PWE
441
DELISTED
Penn West Energy Petroleum Ltd
PWE
$17K 0.01%
2,150
– –
NQU
442
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$17K 0.01%
1,466
– –
MRC
443
DELISTED
MRC Global
MRC
$16K 0.01%
500
– –
NVRI icon
444
Enviri
NVRI
$620M
$16K 0.01%
598
– –
RCI icon
445
Rogers Communications
RCI
$18.6B
$16K 0.01%
+370
New +$16.5K
RSG icon
446
Republic Services
RSG
$65.7B
$16K 0.01%
500
– –
PF
447
DELISTED
Pinnacle Foods, Inc.
PF
$16K 0.01%
600
+100
+20% +$2.71K
BSV icon
448
Vanguard Short-Term Bond ETF
BSV
$44.6B
$15K 0.01%
200
– –
ECH icon
449
iShares MSCI Chile ETF
ECH
$1.06B
$15K 0.01%
335
– –
GT icon
450
Goodyear
GT
$1.85B
$15K 0.01%
655
– –
16 17
18
19 20

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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.