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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
SCHA icon
826
Schwab U.S Small- Cap ETF
SCHA
$23.1B
$0 ﹤0.01%
16
– –
SCHB icon
827
Schwab US Broad Market ETF
SCHB
$44.9B
$0 ﹤0.01%
36
– –
SCHE icon
828
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$0 ﹤0.01%
5
– –
SCHF icon
829
Schwab International Equity ETF
SCHF
$68.7B
$0 ﹤0.01%
10
– –
SCHH icon
830
Schwab US REIT ETF
SCHH
$11.4B
$0 ﹤0.01%
8
– –
SIRI icon
831
SiriusXM
SIRI
$10.1B
$0 ﹤0.01%
24
-144
-86% -$5.36K
SSD icon
832
Simpson Manufacturing
SSD
$8.16B
$0 ﹤0.01%
10
– –
STRL icon
833
Sterling Infrastructure
STRL
$16.7B
– –
-4
Closed –
THD icon
834
iShares MSCI Thailand ETF
THD
$372M
– –
-210
Closed –
TMQ
835
Trilogy Metals
TMQ
$656M
– –
-4,500
Closed -$7K
TREE icon
836
LendingTree
TREE
$451M
$0 ﹤0.01%
22
– –
USA icon
837
Liberty All-Star Equity Fund
USA
$1.85B
$0 ﹤0.01%
86
-159
-65% -$873
VAC icon
838
Marriott Vacations Worldwide
VAC
$4.25B
$0 ﹤0.01%
20
– –
VDE icon
839
Vanguard Energy ETF
VDE
$9.74B
– –
-97
Closed –
XLU icon
840
State Street Utilities Select Sector SPDR ETF
XLU
$22.5B
– –
-600
Closed -$11K
TPC
841
Tutor Perini Cor
TPC
$5.21B
$0 ﹤0.01%
5
– –
AVTA
842
DELISTED
Avantax, Inc. Common Stock
AVTA
$0 ﹤0.01%
10
– –
TA
843
DELISTED
TravelCenters of America LLC
TA
$0 ﹤0.01%
4
– –
RJA
844
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Agriculture Total Return
RJA
– –
-200
Closed -$1K
RJZ
845
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Metals Total Return
RJZ
– –
-400
Closed –
PBCT
846
DELISTED
People's United Financial Inc
PBCT
$0 ﹤0.01%
14
– –
NUAN
847
DELISTED
Nuance Communications, Inc.
NUAN
$0 ﹤0.01%
55
– –
CCMP
848
DELISTED
CMC Materials, Inc. Common Stock
CCMP
$0 ﹤0.01%
+10
New +$369
JCP
849
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
25
– –
EDGW
850
DELISTED
Edgewater Technology Inc
EDGW
$0 ﹤0.01%
100
– –
32 33
34
35 36

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6M
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RFA
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CCT
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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.