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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
ELP
776
DELISTED
Companhia Paranaense de Energia (COPEL)
ELP
$0 ﹤0.01%
30
– –
EMB icon
777
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.7B
– –
-4
Closed –
EOI
778
Eaton Vance Enhanced Equity Income Fund
EOI
$826M
$0 ﹤0.01%
9
– –
ERC
779
Allspring Multi-Sector Income Fund
ERC
$259M
$0 ﹤0.01%
20
-1,500
-99% -$21.2K
ERIC icon
780
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
25
– –
EWBC icon
781
East-West Bancorp
EWBC
$18B
$0 ﹤0.01%
4
– –
EWZ icon
782
iShares MSCI Brazil ETF
EWZ
$8.95B
– –
-1,676
Closed -$80K
FCEL icon
783
FuelCell Energy
FCEL
$1.63B
– –
0
– –
FOF icon
784
Cohen & Steers Closed End Opportunity Fund
FOF
$380M
– –
-3,500
Closed -$43K
FXA icon
785
Invesco CurrencyShares Australian Dollar Trust
FXA
$98M
– –
-125
Closed -$11K
GFI icon
786
Gold Fields
GFI
$36.5B
$0 ﹤0.01%
109
– –
HAP icon
787
VanEck Natural Resources ETF
HAP
$310M
– –
-50
Closed -$1K
HAS icon
788
Hasbro
HAS
$13.2B
– –
-100
Closed -$4K
IART icon
789
Integra LifeSciences
IART
$1.34B
$0 ﹤0.01%
34
– –
IEO icon
790
iShares US Oil & Gas Exploration & Production ETF
IEO
$543M
– –
-61
Closed -$4K
IEP icon
791
Icahn Enterprises
IEP
$5.3B
$0 ﹤0.01%
8
– –
IEZ icon
792
iShares US Oil Equipment & Services ETF
IEZ
$364M
– –
-98
Closed -$6K
ILCV icon
793
iShares Morningstar Value ETF
ILCV
$1.35B
– –
-850
Closed -$31K
ILF icon
794
iShares Latin America 40 ETF
ILF
$3.76B
– –
-84
Closed -$3K
IYE icon
795
iShares US Energy ETF
IYE
$1.71B
– –
-122
Closed -$5K
IYR icon
796
iShares US Real Estate ETF
IYR
$4.65B
– –
-25
Closed -$1K
J icon
797
Jacobs Solutions
J
$17B
$0 ﹤0.01%
2
– –
JNK icon
798
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$6.92B
– –
0
– –
JPC icon
799
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
– –
-38
Closed –
JXI icon
800
iShares Global Utilities ETF
JXI
$311M
– –
-1,111
Closed -$48K
30 31
32
33 34

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RFA
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CCT
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RM
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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.