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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
RNR.PRC.CL
501
DELISTED
RenaissanceRe Holdings Ltd. 6.08% Series C Preference Shares Called for Redemption
RNR.PRC.CL
$11K ﹤0.01%
500
– –
SD
502
DELISTED
SANDRIDGE ENERGY, INC.
SD
$11K ﹤0.01%
2,000
– –
IFNA
503
DELISTED
ISHARES NORTH AMERICA REAL ESTATE ETF
IFNA
$11K ﹤0.01%
+238
New +$11.6K
PNG
504
DELISTED
PAA NATURAL GAS STORAGE, L.P. COM UNIT LTD PARTNERSHIP
PNG
$11K ﹤0.01%
509
– –
CHL
505
DELISTED
China Mobile Limited
CHL
$11K ﹤0.01%
+196
New +$10.6K
UN
506
DELISTED
Unilever NV New York Registry Shares
UN
$11K ﹤0.01%
312
-19
-6% -$751
LULU icon
507
lululemon athletica
LULU
$14.6B
$10K ﹤0.01%
150
– –
MCR
508
DELISTED
MFS Charter Income Trust
MCR
$10K ﹤0.01%
1,182
– –
SAN icon
509
Banco Santander
SAN
$210B
$10K ﹤0.01%
+1,431
New +$9.5K
SMMU icon
510
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund
SMMU
$1.15B
$10K ﹤0.01%
200
– –
STX icon
511
Seagate
STX
$184B
$10K ﹤0.01%
245
– –
TCPC icon
512
BlackRock TCP Capital
TCPC
$345M
$10K ﹤0.01%
650
– –
UAL icon
513
United Airlines
UAL
$42.1B
$10K ﹤0.01%
355
– –
WBD icon
514
Warner Bros
WBD
$67.1B
$10K ﹤0.01%
237
– –
X
515
DELISTED
US Steel
X
$10K ﹤0.01%
+500
New +$9.41K
S
516
DELISTED
Sprint Corporation
S
$10K ﹤0.01%
1,633
-4,626
-74% -$30.5K
NPI
517
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
$10K ﹤0.01%
814
+1
+0.1% +$12
XVG.CL
518
DELISTED
LEHMAN ABS CORP 6.05% CORP BDK TR CERT SR 2003-7 CLA-1
XVG.CL
$10K ﹤0.01%
400
– –
JBI.CL
519
DELISTED
LEHMAN ABS CP 7.785% CP BKD TR CERT DUKE CAP NT 2003-3 A-1
JBI.CL
$10K ﹤0.01%
400
– –
C.PRR
520
DELISTED
CITIGROUP CAPITAL X CAP SECS-TRUPS
C.PRR
$10K ﹤0.01%
400
– –
FNM.PRT
521
DELISTED
FEDERAL NATL MTG ASS 08250
FNM.PRT
$10K ﹤0.01%
1,300
– –
HOT
522
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
$10K ﹤0.01%
154
– –
AYI icon
523
Acuity Brands
AYI
$10.8B
$9K ﹤0.01%
100
– –
BTO
524
John Hancock Financial Opportunities Fund
BTO
$803M
$9K ﹤0.01%
+455
New +$10.3K
CINF icon
525
Cincinnati Financial
CINF
$27.1B
$9K ﹤0.01%
210
– –
19 20
21
22 23

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CCT
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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.