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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
SYT
601
DELISTED
Syngenta Ag
SYT
$5K ﹤0.01%
+67
New +$5.38K
BTU
602
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$5K ﹤0.01%
20
– –
MCRS
603
DELISTED
MICROS SYSTEMS INC
MCRS
$5K ﹤0.01%
118
– –
CA
604
DELISTED
CA, Inc.
CA
$5K ﹤0.01%
180
– –
CHRW icon
605
C.H. Robinson
CHRW
$17.5B
$4K ﹤0.01%
73
– –
CHSCP
606
CHS Inc 8% Preferred Stock
CHSCP
$328M
$4K ﹤0.01%
166
– –
DVN icon
607
Devon Energy
DVN
$47.3B
$4K ﹤0.01%
85
– –
EOD
608
Allspring Global Dividend Opportunity Fund
EOD
$286M
$4K ﹤0.01%
650
– –
GCO icon
609
Genesco
GCO
$422M
$4K ﹤0.01%
75
– –
GD icon
610
General Dynamics
GD
$106B
$4K ﹤0.01%
46
– –
HAS icon
611
Hasbro
HAS
$13.2B
$4K ﹤0.01%
+100
New +$4.67K
IEO icon
612
iShares US Oil & Gas Exploration & Production ETF
IEO
$543M
$4K ﹤0.01%
+61
New +$4.62K
JQC icon
613
Nuveen Credit Strategies Income Fund
JQC
$711M
$4K ﹤0.01%
490
– –
MA icon
614
Mastercard
MA
$493B
$4K ﹤0.01%
70
– –
NBR icon
615
Nabors Industries
NBR
$1.21B
$4K ﹤0.01%
6
– –
NUV icon
616
Nuveen Municipal Value Fund
NUV
$1.91B
$4K ﹤0.01%
+500
New +$4.56K
NVO
617
Novo Nordisk
NVO
$209B
$4K ﹤0.01%
+250
New +$4.21K
VRTX icon
618
Vertex Pharmaceuticals
VRTX
$126B
$4K ﹤0.01%
60
– –
WY icon
619
Weyerhaeuser
WY
$18.4B
$4K ﹤0.01%
161
– –
JTD
620
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
$4K ﹤0.01%
300
– –
TRK
621
DELISTED
Speedway Motorsports, Inc.
TRK
$4K ﹤0.01%
265
– –
ALU
622
DELISTED
Alcatel-Lucent
ALU
$4K ﹤0.01%
+1,318
New +$3.37K
UTIW
623
DELISTED
UTI WORLDWIDE INC
UTIW
$4K ﹤0.01%
300
– –
HSP
624
DELISTED
HOSPIRA INC
HSP
$4K ﹤0.01%
120
– –
CBEY
625
DELISTED
CBEYOND INC COM STK
CBEY
$4K ﹤0.01%
724
– –
23 24
25
26 27

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TU
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NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

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.