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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
VAR
551
DELISTED
Varian Medical Systems, Inc.
VAR
$8K ﹤0.01%
137
– –
AGN
552
DELISTED
Allergan plc
AGN
$8K ﹤0.01%
60
-340
-85% -$45.3K
ISCA
553
DELISTED
International Speedway Corp
ISCA
$8K ﹤0.01%
260
– –
TFCFA
554
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$8K ﹤0.01%
+260
New +$8.19K
MEG
555
DELISTED
Media General, Inc
MEG
$8K ﹤0.01%
564
– –
ARG
556
DELISTED
Airgas Inc
ARG
$8K ﹤0.01%
76
– –
BEAM
557
DELISTED
BEAM INC COM STK (DE)
BEAM
$8K ﹤0.01%
128
– –
AAXJ icon
558
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.77B
$7K ﹤0.01%
135
-124
-48% -$7.01K
ATO icon
559
Atmos Energy
ATO
$28.8B
$7K ﹤0.01%
174
– –
CME icon
560
CME Group
CME
$94.8B
$7K ﹤0.01%
97
– –
CMP icon
561
Compass Minerals
CMP
$1.15B
$7K ﹤0.01%
100
– –
CNQ icon
562
Canadian Natural Resources
CNQ
$93.8B
$7K ﹤0.01%
521
– –
ETR icon
563
Entergy
ETR
$50B
$7K ﹤0.01%
228
+28
+14% +$930
LQD icon
564
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$33B
$7K ﹤0.01%
65
– –
NFLX icon
565
Netflix
NFLX
$309B
$7K ﹤0.01%
1,750
– –
RVT icon
566
Royce Value Trust
RVT
$2.3B
$7K ﹤0.01%
477
– –
TEL icon
567
TE Connectivity
TEL
$62.6B
$7K ﹤0.01%
150
– –
UAA icon
568
Under Armour
UAA
$2.6B
$7K ﹤0.01%
400
– –
XOP icon
569
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.51B
$7K ﹤0.01%
28
– –
MER.PRP.CL
570
DELISTED
Merrill Lynch Capital Trust Iii
MER.PRP.CL
$7K ﹤0.01%
300
– –
BRCM
571
DELISTED
BROADCOM CORP CL-A
BRCM
$7K ﹤0.01%
305
– –
MER.PRE
572
DELISTED
MERRILL PFD TST IV
MER.PRE
$7K ﹤0.01%
310
– –
AXA
573
DELISTED
AXA ADS (1 ORD SHS)
AXA
$7K ﹤0.01%
+308
New +$7K
BBL
574
DELISTED
BHP Group Plc American Depositary Shares (Each representing two Ordinary Shares)
BBL
$7K ﹤0.01%
+131
New +$7.63K
CB icon
575
Chubb
CB
$135B
$6K ﹤0.01%
66
– –
21 22
23
24 25

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NFG
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6M
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RFA
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CCT
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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.