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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
KIM icon
801
Kimco Realty
KIM
$16.4B
$0 ﹤0.01%
24
– –
LINC icon
802
Lincoln Educational Services
LINC
$1.3B
$0 ﹤0.01%
+200
New +$991
LMT icon
803
Lockheed Martin
LMT
$136B
– –
-6
Closed –
LQD icon
804
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$33B
– –
-65
Closed -$7K
LULU icon
805
lululemon athletica
LULU
$14.6B
– –
-150
Closed -$10K
M icon
806
Macy's
M
$6.68B
$0 ﹤0.01%
10
– –
MFIC icon
807
MidCap Financial Investment
MFIC
$804M
– –
-343
Closed -$8K
MLR icon
808
Miller Industries
MLR
$619M
$0 ﹤0.01%
20
– –
MTW icon
809
Manitowoc
MTW
$675M
– –
-667
Closed -$11K
MUR icon
810
Murphy Oil
MUR
$4.78B
$0 ﹤0.01%
2
– –
NTRS icon
811
Northern Trust
NTRS
$33.9B
$0 ﹤0.01%
7
– –
NWS icon
812
News Corp Class B
NWS
$17.5B
– –
-775
Closed -$12K
NWSA icon
813
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
39
-25
-39% -$431
ODFL icon
814
Old Dominion Freight Line
ODFL
$44.9B
– –
-66
Closed -$1K
ODP
815
DELISTED
ODP
ODP
$0 ﹤0.01%
1
-60
-98% -$3.18K
OIH icon
816
VanEck Oil Services ETF
OIH
$1.92B
– –
-38
Closed -$35K
PAG icon
817
Penske Automotive Group
PAG
$14.2B
$0 ﹤0.01%
10
– –
PBR icon
818
Petrobras
PBR
$116B
$0 ﹤0.01%
32
– –
PCY icon
819
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.4B
– –
-26
Closed –
PGJ icon
820
Invesco Golden Dragon China ETF
PGJ
$98.7M
– –
-568
Closed -$16K
PHD
821
DELISTED
Pioneer Floating Rate Fund
PHD
$0 ﹤0.01%
6
-37
-86% -$460
PHK
822
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PIPR icon
823
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
4
-16
-80% -$146
PLUG icon
824
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
10
– –
PML
825
PIMCO Municipal Income Fund II
PML
$493M
$0 ﹤0.01%
7
– –
31 32
33
34 35

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6M
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RFA
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CCT
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C
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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.