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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
PNW icon
726
Pinnacle West Capital
PNW
$12.2B
$1K ﹤0.01%
22
– –
RIG icon
727
Transocean
RIG
$5.82B
$1K ﹤0.01%
25
-15
-38% -$734
RPM icon
728
RPM International
RPM
$15B
$1K ﹤0.01%
27
– –
RYN icon
729
Rayonier
RYN
$6.55B
$1K ﹤0.01%
68
– –
SKM icon
730
SK Telecom
SKM
$13.2B
$1K ﹤0.01%
+42
New +$1.66K
TD icon
731
Toronto Dominion Bank
TD
$200B
$1K ﹤0.01%
34
– –
VAC icon
732
Marriott Vacations Worldwide
VAC
$4.25B
$1K ﹤0.01%
20
– –
CHS
733
DELISTED
Chicos FAS, Inc.
CHS
$1K ﹤0.01%
70
– –
RPT
734
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
$1K ﹤0.01%
88
– –
MMP
735
DELISTED
Magellan Midstream Partners, L.P.
MMP
$1K ﹤0.01%
25
– –
AUY
736
DELISTED
Yamana Gold, Inc.
AUY
$1K ﹤0.01%
122
– –
CERN
737
DELISTED
Cerner Corp
CERN
$1K ﹤0.01%
32
– –
RDC
738
DELISTED
Rowan Companies Plc
RDC
$1K ﹤0.01%
35
– –
BWLD
739
DELISTED
Buffalo Wild Wings, Inc.
BWLD
$1K ﹤0.01%
10
– –
BRCD
740
DELISTED
Brocade Communications Systems, Inc. NEW
BRCD
$1K ﹤0.01%
125
– –
PNRA
741
DELISTED
Panera Bread Co
PNRA
$1K ﹤0.01%
8
– –
SWC
742
DELISTED
Stillwater Mining Co
SWC
$1K ﹤0.01%
100
– –
COB
743
DELISTED
CommunityOne Bancorp
COB
$1K ﹤0.01%
114
+100
+714% +$1.1K
CVC
744
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
$1K ﹤0.01%
110
– –
CYT
745
DELISTED
CYTEC INDS INC
CYT
$1K ﹤0.01%
24
– –
HCBK
746
DELISTED
HUDSON CITY BANCORP INC
HCBK
$1K ﹤0.01%
125
– –
RSH
747
DELISTED
RADIOSHACK CORP
RSH
$1K ﹤0.01%
600
– –
KWK
748
DELISTED
QUICKSILVER RESOURCES INC
KWK
$1K ﹤0.01%
600
– –
SWSH
749
DELISTED
SWISHER HYGIENE INC COM STK NEW (DE)
SWSH
$1K ﹤0.01%
350
– –
AWC
750
DELISTED
Alumina Ltd
AWC
$1K ﹤0.01%
305
– –
28 29
30
31 32

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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.