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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
PNR icon
676
Pentair
PNR
$11B
$2K ﹤0.01%
52
– –
RYN icon
677
Rayonier
RYN
$6.55B
$2K ﹤0.01%
68
– –
RZG icon
678
Invesco S&P SmallCap 600 Pure Growth ETF
RZG
$141M
$2K ﹤0.01%
+114
New +$2.62K
SITC icon
679
SITE Centers
SITC
$165M
$2K ﹤0.01%
106
– –
SXC icon
680
SunCoke Energy
SXC
$797M
$2K ﹤0.01%
147
– –
TROW icon
681
T. Rowe Price
TROW
$24.3B
$2K ﹤0.01%
34
– –
WPM icon
682
Wheaton Precious Metals
WPM
$60.9B
$2K ﹤0.01%
+100
New +$2.38K
JBTM
683
JBT Marel
JBTM
$6.39B
$2K ﹤0.01%
92
– –
ABB
684
DELISTED
ABB Ltd
ABB
$2K ﹤0.01%
+87
New +$1.96K
NBL
685
DELISTED
Noble Energy, Inc.
NBL
$2K ﹤0.01%
38
– –
WBC
686
DELISTED
WABCO HOLDINGS INC.
WBC
$2K ﹤0.01%
33
– –
ILG
687
DELISTED
ILG, Inc Common Stock
ILG
$2K ﹤0.01%
112
– –
LVNTA
688
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
$2K ﹤0.01%
130
– –
MJN
689
DELISTED
Mead Johnson Nutrition Company
MJN
$2K ﹤0.01%
31
– –
HNR
690
DELISTED
Harvest Natural Resources
HNR
$2K ﹤0.01%
125
-89,575
-100% -$1.62M
MER.PRM
691
DELISTED
MERRILL LYNCH CAP TRII GUARANTEED TRUST PFD SECS 6.450%
MER.PRM
$2K ﹤0.01%
100
– –
GM.WS.A
692
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
$2K ﹤0.01%
107
– –
PCL
693
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$2K ﹤0.01%
53
-114
-68% -$5.34K
RSH
694
DELISTED
RADIOSHACK CORP
RSH
$2K ﹤0.01%
600
– –
SWSH
695
DELISTED
SWISHER HYGIENE INC COM STK NEW (DE)
SWSH
$2K ﹤0.01%
350
– –
ASTX
696
DELISTED
ASTEX PHARMACEUTICALS, INC COM
ASTX
$2K ﹤0.01%
300
– –
AAR
697
DELISTED
AMR CRP 7.875% (PINES) 7/13/39
AAR
$2K ﹤0.01%
100
– –
NSANY
698
DELISTED
NISSAN MOTOR CO LTD SPONS ADR
NSANY
$2K ﹤0.01%
+121
New +$2K
PAGG
699
DELISTED
Invesco Global Agriculture ETF
PAGG
$2K ﹤0.01%
100
– –
DGI
700
DELISTED
DigitalGlobe Inc.
DGI
$2K ﹤0.01%
+75
New +$2.4K
26 27
28
29 30

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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.