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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
COP icon
51
ConocoPhillips
COP
$141B
$1.17M 0.44%
16,842
+325
+2% +$21.7K
T icon
52
AT&T
T
$163B
$1.13M 0.43%
44,431
+8,529
+24% +$224K
RTX icon
53
RTX Corp
RTX
$298B
$1.11M 0.42%
16,410
-238
-1% -$15.6K
BAC icon
54
Bank of America
BAC
$439B
$1.03M 0.39%
74,946
+7,734
+12% +$110K
RY icon
55
Royal Bank of Canada
RY
$292B
$1.02M 0.39%
15,976
-680
-4% -$42.2K
WMB icon
56
Williams Companies
WMB
$87B
$1.02M 0.39%
28,150
+12,050
+75% +$422K
PM icon
57
Philip Morris
PM
$296B
$1.01M 0.38%
11,671
-910
-7% -$79.6K
OXY icon
58
Occidental Petroleum
OXY
$56B
$978K 0.37%
10,923
-1,619
-13% -$139K
KO icon
59
Coca-Cola
KO
$374B
$941K 0.35%
24,859
-7,351
-23% -$291K
RIO icon
60
Rio Tinto
RIO
$165B
$941K 0.35%
+19,299
New +$900K
SON icon
61
Sonoco
SON
$5.67B
$936K 0.35%
24,060
-4,713
-16% -$179K
FEZ icon
62
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.54B
$921K 0.35%
23,985
+3,625
+18% +$131K
BHI
63
DELISTED
Baker Hughes
BHI
$914K 0.34%
18,634
-567
-3% -$27.3K
SO icon
64
Southern Company
SO
$107B
$860K 0.32%
20,904
-112
-0.5% -$4.82K
EEMV icon
65
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.56B
$847K 0.32%
14,430
+600
+4% +$34.6K
AUB icon
66
Atlantic Union Bankshares
AUB
$5.96B
$794K 0.3%
34,011
– –
BSJF
67
DELISTED
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
$794K 0.3%
29,738
+738
+3% +$19.6K
BSJI
68
DELISTED
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
$790K 0.3%
29,800
+4,000
+16% +$105K
VUG icon
69
Vanguard Morningstar Growth ETF
VUG
$232B
$690K 0.26%
48,942
– –
VTV icon
70
Vanguard Morningstar Value ETF
VTV
$191B
$617K 0.23%
8,850
– –
MON
71
DELISTED
Monsanto Co
MON
$607K 0.23%
5,824
-400
-6% -$40.2K
BAX icon
72
Baxter International
BAX
$14.1B
$569K 0.21%
15,969
+12,712
+390% +$493K
EPD icon
73
Enterprise Products Partners
EPD
$82.5B
$559K 0.21%
18,338
+17,098
+1,379% +$523K
HD icon
74
Home Depot
HD
$351B
$553K 0.21%
7,295
-975
-12% -$75.3K
SUP
75
DELISTED
Superior Industries International
SUP
$547K 0.21%
30,700
+2,800
+10% +$50.3K
1 2
3
4 5

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6M
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RFA
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CCT
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C
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CC
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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.