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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
NTT
701
DELISTED
Nippon Telegraph & Telephone
NTT
$2K ﹤0.01%
+110
New +$2.88K
CIT
702
DELISTED
CIT Group Inc.
CIT
$2K ﹤0.01%
61
– –
AA icon
703
Alcoa
AA
$13.2B
$1K ﹤0.01%
64
+43
+205% +$832
AMCX icon
704
AMC Global Media
AMCX
$489M
$1K ﹤0.01%
27
– –
AOS icon
705
A.O. Smith
AOS
$8.7B
$1K ﹤0.01%
+88
New +$1.84K
BCS icon
706
Barclays
BCS
$94.1B
$1K ﹤0.01%
+126
New +$1.97K
BDC icon
707
Belden
BDC
$5.19B
$1K ﹤0.01%
+28
New +$1.64K
BLDP
708
Ballard Power Systems
BLDP
$790M
$1K ﹤0.01%
600
– –
CALM icon
709
Cal-Maine
CALM
$3.99B
$1K ﹤0.01%
80
– –
CE icon
710
Celanese
CE
$4.82B
$1K ﹤0.01%
30
– –
COF icon
711
Capital One
COF
$134B
$1K ﹤0.01%
26
– –
E icon
712
ENI
E
$77.5B
$1K ﹤0.01%
+40
New +$1.8K
HAP icon
713
VanEck Natural Resources ETF
HAP
$310M
$1K ﹤0.01%
+50
New +$1.78K
HII icon
714
Huntington Ingalls Industries
HII
$12.8B
$1K ﹤0.01%
17
– –
HL icon
715
Hecla Mining
HL
$11.3B
$1K ﹤0.01%
509
– –
HLF icon
716
Herbalife
HLF
$1.29B
$1K ﹤0.01%
36
– –
HST icon
717
Host Hotels & Resorts
HST
$16B
$1K ﹤0.01%
101
– –
IPGP icon
718
IPG Photonics
IPGP
$3.84B
$1K ﹤0.01%
21
– –
IYR icon
719
iShares US Real Estate ETF
IYR
$4.65B
$1K ﹤0.01%
+25
New +$1.63K
KGC icon
720
Kinross Gold
KGC
$32.8B
$1K ﹤0.01%
327
– –
LUV icon
721
Southwest Airlines
LUV
$23B
$1K ﹤0.01%
100
– –
LYG icon
722
Lloyds Banking Group
LYG
$91.3B
$1K ﹤0.01%
+299
New +$1.35K
MOS icon
723
The Mosaic Company
MOS
$7.33B
$1K ﹤0.01%
24
– –
NRG icon
724
NRG Energy
NRG
$24.8B
$1K ﹤0.01%
48
– –
NWSA icon
725
News Corp Class A
NWSA
$15.4B
$1K ﹤0.01%
+64
New +$1.02K
27 28
29
30 31

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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.