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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
CASI
776
DELISTED
CASI Pharmaceuticals
CASI
$0 ﹤0.01%
1
– –
CHIQ icon
777
Global X MSCI China Consumer Discretionary ETF
CHIQ
$127M
– –
-3,000
Closed –
CLAR icon
778
Clarus
CLAR
$143M
$0 ﹤0.01%
25
– –
CLH icon
779
Clean Harbors
CLH
$16.3B
– –
-145
Closed -$7K
CRNT icon
780
Ceragon Networks
CRNT
$201M
$0 ﹤0.01%
+25
New +$89
DTE icon
781
DTE Energy
DTE
$29.1B
$0 ﹤0.01%
+9
New +$522
EIX icon
782
Edison International
EIX
$26.4B
– –
-200
Closed -$9K
ELP
783
DELISTED
Companhia Paranaense de Energia (COPEL)
ELP
$0 ﹤0.01%
+30
New +$155
EMB icon
784
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.7B
$0 ﹤0.01%
+4
New +$434
EOI
785
Eaton Vance Enhanced Equity Income Fund
EOI
$826M
$0 ﹤0.01%
9
– –
ERIC icon
786
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
+25
New +$310
ETW
787
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
$1.06B
$0 ﹤0.01%
+23
New +$262
EWBC icon
788
East-West Bancorp
EWBC
$18B
$0 ﹤0.01%
4
– –
FCEL icon
789
FuelCell Energy
FCEL
$1.63B
– –
0
– –
GFI icon
790
Gold Fields
GFI
$36.5B
$0 ﹤0.01%
+109
New +$584
HRL icon
791
Hormel Foods
HRL
$13.8B
– –
-65,548
Closed -$1.26M
HYT icon
792
BlackRock Corporate High Yield Fund
HYT
$1.37B
$0 ﹤0.01%
+39
New +$454
IART icon
793
Integra LifeSciences
IART
$1.34B
$0 ﹤0.01%
34
– –
IDX icon
794
VanEck Indonesia Index ETF
IDX
$37.3M
– –
-90
Closed –
IEP icon
795
Icahn Enterprises
IEP
$5.3B
$0 ﹤0.01%
8
– –
IMKTA icon
796
Ingles Markets
IMKTA
$1.67B
– –
-100
Closed -$2K
IYY icon
797
iShares Dow Jones US ETF
IYY
$3.06B
– –
-70
Closed –
J icon
798
Jacobs Solutions
J
$17B
$0 ﹤0.01%
2
– –
JNK icon
799
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$6.92B
– –
0
– –
JPC icon
800
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$0 ﹤0.01%
+38
New +$342
30 31
32
33 34

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NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
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RFA
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CCT
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C
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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
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.