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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
CSG
26
DELISTED
CHAMBERS STR PPTYS COM
CSG
$2.21M 0.83%
252,131
+178,409
+242% +$1.5M
ADP icon
27
Automatic Data Processing
ADP
$107B
$2.21M 0.83%
34,737
+826
+2% +$52.5K
PG icon
28
Procter & Gamble
PG
$342B
$2.13M 0.8%
28,188
-621
-2% -$49.4K
OCSL icon
29
Oaktree Specialty Lending
OCSL
$1.06B
$1.95M 0.74%
63,200
+30,133
+91% +$957K
BNY
30
Bank of New York Mellon
BNY
$108B
$1.95M 0.73%
64,585
-2,786
-4% -$85.5K
CSCO icon
31
Cisco
CSCO
$479B
$1.87M 0.71%
79,881
+25
+0% +$621
RRC icon
32
Range Resources
RRC
$8.91B
$1.72M 0.65%
22,646
+300
+1% +$23.4K
MMM icon
33
3M
MMM
$93.9B
$1.71M 0.64%
17,081
+430
+3% +$41.8K
FCX icon
34
Freeport-McMoran
FCX
$99.8B
$1.68M 0.63%
50,852
-144
-0.3% -$4.4K
NUE icon
35
Nucor
NUE
$62.6B
$1.68M 0.63%
34,199
+1,150
+3% +$53.9K
PEBK icon
36
Peoples Bancorp of North Carolina
PEBK
$231M
$1.6M 0.6%
142,450
+82,500
+138% +$982K
GS.PRA icon
37
Goldman Sachs Group Inc Depositary Shares
GS.PRA
$575M
$1.59M 0.6%
79,525
+12,325
+18% +$256K
CVX icon
38
Chevron
CVX
$371B
$1.57M 0.59%
12,954
+305
+2% +$37.5K
IVV icon
39
iShares Core S&P 500 ETF
IVV
$898B
$1.54M 0.58%
9,127
+437
+5% +$73.7K
SYY icon
40
Sysco
SYY
$40.3B
$1.53M 0.58%
48,244
-400
-0.8% -$13.4K
WFC icon
41
Wells Fargo
WFC
$270B
$1.51M 0.57%
36,508
-2,019
-5% -$86.2K
QCOM icon
42
Qualcomm
QCOM
$165B
$1.48M 0.56%
21,969
+1,832
+9% +$120K
MS.PRA icon
43
Morgan Stanley Series A Preferred Stock
MS.PRA
$764M
$1.44M 0.54%
74,000
+2,500
+3% +$51.1K
PEP icon
44
PepsiCo
PEP
$189B
$1.41M 0.53%
17,690
-192
-1% -$15.8K
WU icon
45
Western Union
WU
$2.26B
$1.36M 0.51%
73,033
-11,591
-14% -$208K
MCD icon
46
McDonald's
MCD
$195B
$1.29M 0.49%
13,429
-371
-3% -$36.2K
PFM icon
47
Invesco Dividend Achievers ETF
PFM
$805M
$1.27M 0.48%
68,700
+4,150
+6% +$77.4K
UPS icon
48
United Parcel Service
UPS
$91.5B
$1.26M 0.48%
13,801
-363
-3% -$31.9K
PNY
49
DELISTED
PIEDMONT NATURAL GAS CO INC(NC
PNY
$1.23M 0.46%
37,324
-2,534
-6% -$85K
IBM icon
50
IBM
IBM
$222B
$1.22M 0.46%
6,876
+85
+1% +$15.4K
1
2
3 4 5

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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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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.