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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
KLAC icon
476
KLA
KLAC
$259B
$12K ﹤0.01%
2,000
– –
MS icon
477
Morgan Stanley
MS
$340B
$12K ﹤0.01%
414
+1
+0.2% +$30
SAN icon
478
Banco Santander
SAN
$210B
$12K ﹤0.01%
1,461
+30
+2% +$238
RAI
479
DELISTED
Reynolds American Inc
RAI
$12K ﹤0.01%
520
– –
SD
480
DELISTED
SANDRIDGE ENERGY, INC.
SD
$12K ﹤0.01%
2,000
– –
AXA
481
DELISTED
AXA ADS (1 ORD SHS)
AXA
$12K ﹤0.01%
448
+140
+45% +$3.75K
HOT
482
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
$12K ﹤0.01%
154
– –
UN
483
DELISTED
Unilever NV New York Registry Shares
UN
$12K ﹤0.01%
312
– –
DJP icon
484
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$794M
$11K ﹤0.01%
314
-170
-35% -$6.26K
ETW
485
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
$1.06B
$11K ﹤0.01%
950
+927
+4,030% +$11K
FLS icon
486
Flowserve
FLS
$10.2B
$11K ﹤0.01%
150
– –
IRWD icon
487
Ironwood Pharmaceuticals
IRWD
$714M
$11K ﹤0.01%
+1,194
New +$10.7K
TRV icon
488
Travelers Companies
TRV
$80.2B
$11K ﹤0.01%
124
+83
+202% +$7.25K
TSC
489
DELISTED
TriState Capital Holdings, Inc.
TSC
$11K ﹤0.01%
+1,000
New +$12.3K
PCL
490
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$11K ﹤0.01%
253
+200
+377% +$9.15K
PNG
491
DELISTED
PAA NATURAL GAS STORAGE, L.P. COM UNIT LTD PARTNERSHIP
PNG
$11K ﹤0.01%
509
– –
AYI icon
492
Acuity Brands
AYI
$10.8B
$10K ﹤0.01%
100
– –
CINF icon
493
Cincinnati Financial
CINF
$27.1B
$10K ﹤0.01%
210
– –
CPB icon
494
Campbell Soup
CPB
$6.87B
$10K ﹤0.01%
243
– –
FLR icon
495
Fluor
FLR
$7.96B
$10K ﹤0.01%
135
– –
MCR
496
DELISTED
MFS Charter Income Trust
MCR
$10K ﹤0.01%
1,182
– –
PFG icon
497
Principal Financial Group
PFG
$24.3B
$10K ﹤0.01%
222
– –
SMMU icon
498
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund
SMMU
$1.17B
$10K ﹤0.01%
200
– –
TCPC icon
499
BlackRock TCP Capital
TCPC
$345M
$10K ﹤0.01%
650
– –
TNL icon
500
Travel + Leisure Co
TNL
$4.7B
$10K ﹤0.01%
310
– –
18 19
20
21 22

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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.