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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
VNR
451
DELISTED
Vanguard Natural Resources, LLC
VNR
$16K 0.01%
+600
New +$16.4K
B
452
Barrick Mining
B
$73.2B
$15K 0.01%
843
– –
MSI icon
453
Motorola Solutions
MSI
$77.4B
$15K 0.01%
268
-93
-26% -$5.35K
RNP icon
454
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$15K 0.01%
1,000
– –
QVCGA
455
DELISTED
QVC Group Inc Series A
QVCGA
$15K 0.01%
16
– –
SFE
456
DELISTED
Safeguard Scientifics, Inc.
SFE
$15K 0.01%
1,000
– –
CFC.PRB.CL
457
DELISTED
Countrywide Capital V
CFC.PRB.CL
$15K 0.01%
600
– –
PETM
458
DELISTED
PETSMART INC
PETM
$15K 0.01%
200
– –
HTSI
459
DELISTED
HARRIS TEETER SUPERMARKETS INC COM STK (NC)
HTSI
$15K 0.01%
317
– –
FTR
460
DELISTED
Frontier Communications Corp.
FTR
$15K 0.01%
252
+2
+0.8% +$130
TWC
461
DELISTED
TIME WARNER CABLE INC NEW COM STK
TWC
$15K 0.01%
140
– –
EPP icon
462
iShares MSCI Pacific ex Japan ETF
EPP
$2.28B
$14K 0.01%
300
-252
-46% -$11.5K
FFC
463
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$14K 0.01%
800
– –
GT icon
464
Goodyear
GT
$1.85B
$14K 0.01%
655
– –
IOO icon
465
iShares Global 100 ETF
IOO
$9.25B
$14K 0.01%
406
– –
JAZZ icon
466
Jazz Pharmaceuticals
JAZZ
$16.7B
$14K 0.01%
160
– –
NVRI icon
467
Enviri
NVRI
$620M
$14K 0.01%
598
-400
-40% -$9.96K
SPG icon
468
Simon Property Group
SPG
$72.3B
$14K 0.01%
106
– –
MER.PRD
469
DELISTED
MERRILL PF CP TST III 7%
MER.PRD
$14K 0.01%
600
– –
APA icon
470
APA Corp
APA
$13.2B
$13K ﹤0.01%
158
+82
+108% +$6.81K
IWM icon
471
iShares Russell 2000 ETF
IWM
$83B
$13K ﹤0.01%
129
– –
MRC
472
DELISTED
MRC Global
MRC
$13K ﹤0.01%
500
– –
TGNA
473
DELISTED
TEGNA Inc
TGNA
$13K ﹤0.01%
956
– –
TRP icon
474
TC Energy
TRP
$65.9B
$13K ﹤0.01%
311
+11
+4% +$490
GWR
475
DELISTED
Genesee & Wyoming Inc.
GWR
$13K ﹤0.01%
150
– –
17 18
19
20 21

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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.