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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
HAR
751
DELISTED
Harman International Industries
HAR
$1K ﹤0.01%
26
– –
FEIC
752
DELISTED
FEI COMPANY
FEIC
$1K ﹤0.01%
+14
New +$1.11K
CVC
753
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
$1K ﹤0.01%
110
– –
HCBK
754
DELISTED
HUDSON CITY BANCORP INC
HCBK
$1K ﹤0.01%
125
– –
ANR
755
DELISTED
Alpha Natural Resources Inc
ANR
$1K ﹤0.01%
+300
New +$1.76K
KWK
756
DELISTED
QUICKSILVER RESOURCES INC
KWK
$1K ﹤0.01%
600
– –
TIBX
757
DELISTED
TIBCO SOFTWARE INC
TIBX
$1K ﹤0.01%
40
– –
LSI
758
DELISTED
LSI CORPORATION
LSI
$1K ﹤0.01%
213
-10
-4% -$77
AWC
759
DELISTED
Alumina Ltd
AWC
$1K ﹤0.01%
+305
New +$1.13K
FNM.PRN
760
DELISTED
FEDERAL NAT'L MTG ASSOC SER N PFD
FNM.PRN
$1K ﹤0.01%
200
– –
CYE
761
DELISTED
BLACKROCK CORP HG YLD FD III, INC.
CYE
$1K ﹤0.01%
200
– –
DCM
762
DELISTED
NTT DOCOMO, Inc.
DCM
$1K ﹤0.01%
+70
New +$1.11K
KKD
763
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
$1K ﹤0.01%
64
-30
-32% -$610
POM
764
DELISTED
PEPCO HOLDINGS, INC.
POM
$1K ﹤0.01%
83
– –
ACCO icon
765
Acco Brands
ACCO
$407M
$0 ﹤0.01%
16
– –
ACLS icon
766
Axcelis
ACLS
$4.33B
$0 ﹤0.01%
86
– –
AL
767
DELISTED
Air Lease Corp
AL
– –
-390
Closed -$10K
ALK icon
768
Alaska Air
ALK
$5.58B
– –
-40
Closed -$1K
ARE icon
769
Alexandria Real Estate Equities
ARE
$8.56B
$0 ﹤0.01%
5
– –
AVNW icon
770
Aviat Networks
AVNW
$273M
$0 ﹤0.01%
4
– –
AWI icon
771
Armstrong World Industries
AWI
$7.84B
$0 ﹤0.01%
+11
New +$556
BB icon
772
BlackBerry
BB
$5.26B
$0 ﹤0.01%
+15
New +$146
BCE icon
773
BCE
BCE
$21.2B
$0 ﹤0.01%
+12
New +$499
BGT icon
774
BlackRock Floating Rate Income Trust
BGT
$325M
$0 ﹤0.01%
+13
New +$190
BKLN icon
775
Invesco Senior Loan ETF
BKLN
$6.81B
$0 ﹤0.01%
+20
New +$496
29 30
31
32 33

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NFG
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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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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.