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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
KIM icon
801
Kimco Realty
KIM
$16.4B
$0 ﹤0.01%
24
– –
LMT icon
802
Lockheed Martin
LMT
$136B
$0 ﹤0.01%
+6
New +$728
M icon
803
Macy's
M
$6.68B
$0 ﹤0.01%
10
– –
MKC icon
804
McCormick & Company Non-Voting
MKC
$14.2B
– –
-100
Closed -$3K
MLR icon
805
Miller Industries
MLR
$619M
$0 ﹤0.01%
20
– –
MUR icon
806
Murphy Oil
MUR
$4.78B
$0 ﹤0.01%
2
– –
NOC icon
807
Northrop Grumman
NOC
$81.2B
– –
-106
Closed -$8K
NTRS icon
808
Northern Trust
NTRS
$33.9B
$0 ﹤0.01%
7
– –
PAG icon
809
Penske Automotive Group
PAG
$14.2B
$0 ﹤0.01%
10
– –
PBR icon
810
Petrobras
PBR
$116B
$0 ﹤0.01%
+32
New +$456
PCY icon
811
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.4B
$0 ﹤0.01%
+26
New +$705
PGF icon
812
Invesco Financial Preferred ETF
PGF
$674M
– –
-1,100
Closed -$19K
PHD
813
DELISTED
Pioneer Floating Rate Fund
PHD
$0 ﹤0.01%
43
+37
+617% +$476
PHK
814
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PIPR icon
815
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
20
– –
PLUG icon
816
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
10
– –
PML
817
PIMCO Municipal Income Fund II
PML
$493M
$0 ﹤0.01%
7
– –
PPL
818
PPL Corp
PPL
$26.7B
$0 ﹤0.01%
+23
New +$660
PPT
819
Franklin Premier Income Trust
PPT
$328M
$0 ﹤0.01%
139
– –
PRTA icon
820
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
RDN icon
821
Radian Group
RDN
$4.93B
– –
-24
Closed –
RGLD icon
822
Royal Gold
RGLD
$19.5B
$0 ﹤0.01%
13
– –
RHI icon
823
Robert Half
RHI
$4.37B
$0 ﹤0.01%
5
– –
RPM icon
824
RPM International
RPM
$15B
$0 ﹤0.01%
+27
New +$941
SBSW icon
825
Sibanye-Stillwater
SBSW
$7.53B
$0 ﹤0.01%
+29
New +$106
31 32
33
34 35

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TU
TDAM USA Toronto, Ontario, Canada $1.61B AUM 28.05% 1-Year Est. Return
NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

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.