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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
+8.3%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$281M
AUM Growth
+$16.1M
Cap. Flow
-$4.46M
Cap. Flow %
-1.58%
Top 10 Hldgs %
40.21%
Holding
1,045
New
111
Increased
151
Reduced
177
Closed
110

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.38M
2
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$4.02M
3
IOO icon
iShares Global 100 ETF
IOO
+$2.4M
4
PSTB
Park Sterling Corp.
PSTB
+$1.86M
5
HRL icon
Hormel Foods
HRL
+$1.41M

Top Sells

Rank Stock Value
1
HTS
HATTERAS FINANCIAL CORP
HTS
+$3.61M
2
VIG icon
Vanguard Dividend Appreciation ETF
VIG
+$3.09M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.19M
4
PEBK icon
Peoples Bancorp of North Carolina
PEBK
+$1.26M
5
WU icon
Western Union
WU
+$1.21M

Sector Composition

Rank Sector Weight
1 Financials 13.16%
2 Energy 10.34%
3 Technology 9.46%
4 Healthcare 6.55%
5 Industrials 5.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HAR
701
DELISTED
Harman International Industries
HAR
$2K ﹤0.01%
26
– –
MER.PRM
702
DELISTED
MERRILL LYNCH CAP TRII GUARANTEED TRUST PFD SECS 6.450%
MER.PRM
$2K ﹤0.01%
100
– –
LSI
703
DELISTED
LSI CORPORATION
LSI
$2K ﹤0.01%
213
– –
FNM.PRN
704
DELISTED
FEDERAL NAT'L MTG ASSOC SER N PFD
FNM.PRN
$2K ﹤0.01%
200
– –
NSANY
705
DELISTED
NISSAN MOTOR CO LTD SPONS ADR
NSANY
$2K ﹤0.01%
121
– –
BRG
706
DELISTED
BG GROUP PLC ADS(RP 5 ORD SHS)
BRG
$2K ﹤0.01%
+130
New +$2K
PAGG
707
DELISTED
Invesco Global Agriculture ETF
PAGG
$2K ﹤0.01%
100
– –
KMI.WS
708
DELISTED
Kinder Morgan Inc
KMI.WS
$2K ﹤0.01%
640
– –
NTT
709
DELISTED
Nippon Telegraph & Telephone
NTT
$2K ﹤0.01%
110
– –
AA icon
710
Alcoa
AA
$13.2B
$1K ﹤0.01%
60
-4
-6% -$89
AMCX icon
711
AMC Global Media
AMCX
$489M
$1K ﹤0.01%
27
– –
CE icon
712
Celanese
CE
$4.82B
$1K ﹤0.01%
30
– –
E icon
713
ENI
E
$77.5B
$1K ﹤0.01%
40
– –
GGN
714
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$819M
$1K ﹤0.01%
200
– –
HII icon
715
Huntington Ingalls Industries
HII
$12.8B
$1K ﹤0.01%
17
– –
HL icon
716
Hecla Mining
HL
$11.3B
$1K ﹤0.01%
509
– –
HLF icon
717
Herbalife
HLF
$1.29B
$1K ﹤0.01%
36
– –
HST icon
718
Host Hotels & Resorts
HST
$16B
$1K ﹤0.01%
101
– –
HYT icon
719
BlackRock Corporate High Yield Fund
HYT
$1.37B
$1K ﹤0.01%
122
+83
+213% +$988
IPGP icon
720
IPG Photonics
IPGP
$3.84B
$1K ﹤0.01%
21
– –
KGC icon
721
Kinross Gold
KGC
$32.8B
$1K ﹤0.01%
327
– –
LUV icon
722
Southwest Airlines
LUV
$23B
$1K ﹤0.01%
100
– –
MOS icon
723
The Mosaic Company
MOS
$7.33B
$1K ﹤0.01%
24
– –
NRG icon
724
NRG Energy
NRG
$24.8B
$1K ﹤0.01%
49
+1
+2% +$28
PFN
725
PIMCO Income Strategy Fund II
PFN
$703M
$1K ﹤0.01%
118
– –
27 28
29
30 31

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Carroll Financial Associates's Q4 2013 Portfolio in Review

As of Q4 2013, Carroll Financial Associates held 1,045 positions worth $281M, up 6.1% from $265M the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Carroll Financial Associates's Q4 2013 filing shows 111 new, 151 increased, 177 reduced and 110 closed positions. Its largest new stake was Hormel Foods: 64,506 shares worth $1.46M. The largest sale was HATTERAS FINANCIAL CORP, an estimated $3.61M.

By sector, the portfolio is most concentrated in Financials at 13% of assets, down from 14% a quarter earlier, followed by Energy and Technology.

  • Carroll Financial Associates's largest Q4 2013 buy was Hormel Foods: 64,506 shares worth $1.46M.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q4 2013, an estimated $4.38M increase.
  • Carroll Financial Associates's biggest Q4 2013 reduction was HATTERAS FINANCIAL CORP, cutting an estimated $3.61M.
  • Carroll Financial Associates fully exited Selective Insurance in Q4 2013, selling an estimated $226K.
  • Carroll Financial Associates's ten largest holdings make up 40% of its $281M portfolio in Q4 2013.
  • Carroll Financial Associates opened 111 new positions and closed 110 in Q4 2013.
  • Carroll Financial Associates's portfolio value rose 6.1% quarter-over-quarter to $281M.

Based on Carroll Financial Associates's 13F filing for Q4 2013, filed 6 Feb 2014.