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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
RNP icon
451
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$15K 0.01%
1,000
– –
SPG icon
452
Simon Property Group
SPG
$72.3B
$15K 0.01%
106
– –
OMCC
453
DELISTED
Old Market Capital Corp
OMCC
$15K 0.01%
992
-1,180
-54% -$18.9K
CFC.PRB.CL
454
DELISTED
Countrywide Capital V
CFC.PRB.CL
$15K 0.01%
600
– –
MER.PRD
455
DELISTED
MERRILL PF CP TST III 7%
MER.PRD
$15K 0.01%
600
– –
HTSI
456
DELISTED
HARRIS TEETER SUPERMARKETS INC COM STK (NC)
HTSI
$15K 0.01%
317
– –
EPP icon
457
iShares MSCI Pacific ex Japan ETF
EPP
$2.28B
$14K 0.01%
300
– –
FFC
458
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$14K 0.01%
800
– –
HALO icon
459
Halozyme
HALO
$12.2B
$14K 0.01%
1,000
– –
IWM icon
460
iShares Russell 2000 ETF
IWM
$83B
$14K 0.01%
129
– –
BRCM
461
DELISTED
BROADCOM CORP CL-A
BRCM
$14K 0.01%
505
+200
+66% +$5.45K
MER.PRE
462
DELISTED
MERRILL PFD TST IV
MER.PRE
$14K 0.01%
560
+250
+81% +$6.31K
PETM
463
DELISTED
PETSMART INC
PETM
$14K 0.01%
200
– –
COF icon
464
Capital One
COF
$134B
$13K ﹤0.01%
176
+150
+577% +$10.7K
DFS
465
DELISTED
Discover Financial Services
DFS
$13K ﹤0.01%
250
– –
FHN icon
466
First Horizon
FHN
$12.1B
$13K ﹤0.01%
1,179
-3,983
-77% -$44.5K
IYM icon
467
iShares US Basic Materials ETF
IYM
$1.25B
$13K ﹤0.01%
165
– –
NOV icon
468
NOV
NOV
$7B
$13K ﹤0.01%
183
– –
RPG icon
469
Invesco S&P 500 Pure Growth ETF
RPG
$2.09B
$13K ﹤0.01%
975
-615
-39% -$8.22K
TRP icon
470
TC Energy
TRP
$65.9B
$13K ﹤0.01%
300
-11
-4% -$490
UAL icon
471
United Airlines
UAL
$42.1B
$13K ﹤0.01%
355
– –
VHT icon
472
Vanguard Health Care ETF
VHT
$18.6B
$13K ﹤0.01%
136
– –
FNM.PRT
473
DELISTED
FEDERAL NATL MTG ASS 08250
FNM.PRT
$13K ﹤0.01%
1,300
– –
BGC icon
474
BGC Group
BGC
$4.89B
$12K ﹤0.01%
3,174
+64
+2% +$233
IXN icon
475
iShares Global Tech ETF
IXN
$8.83B
$12K ﹤0.01%
900
– –
17 18
19
20 21

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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.