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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
PPL
826
PPL Corp
PPL
$26.7B
– –
-23
Closed –
PPT
827
Franklin Premier Income Trust
PPT
$328M
– –
-139
Closed –
PRTA icon
828
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
PSK icon
829
State Street SPDR ICE Preferred Securities ETF
PSK
$685M
– –
-1,500
Closed -$61K
PXH icon
830
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.96B
– –
-5,000
Closed -$101K
RFG icon
831
Invesco S&P MidCap 400 Pure Growth ETF
RFG
$358M
– –
-1,765
Closed -$39K
RGLD icon
832
Royal Gold
RGLD
$19.5B
– –
-13
Closed –
RGT
833
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
+62
New +$537
RHI icon
834
Robert Half
RHI
$4.37B
$0 ﹤0.01%
5
– –
RWX icon
835
State Street SPDR Dow Jones International Real Estate ETF
RWX
$270M
– –
-36
Closed -$1K
RZG icon
836
Invesco S&P SmallCap 600 Pure Growth ETF
RZG
$141M
– –
-114
Closed -$2K
SBSW icon
837
Sibanye-Stillwater
SBSW
$7.53B
$0 ﹤0.01%
29
– –
SCHA icon
838
Schwab U.S Small- Cap ETF
SCHA
$23.1B
$0 ﹤0.01%
16
– –
SCHB icon
839
Schwab US Broad Market ETF
SCHB
$44.9B
$0 ﹤0.01%
36
– –
SCHE icon
840
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$0 ﹤0.01%
5
– –
SCHF icon
841
Schwab International Equity ETF
SCHF
$68.7B
$0 ﹤0.01%
10
– –
SCHH icon
842
Schwab US REIT ETF
SCHH
$11.4B
$0 ﹤0.01%
8
– –
SIGI icon
843
Selective Insurance
SIGI
$5.73B
– –
-9,245
Closed -$226K
SIRI icon
844
SiriusXM
SIRI
$10.1B
$0 ﹤0.01%
24
– –
SLV icon
845
iShares Silver Trust
SLV
$30.7B
– –
-1,197
Closed -$25K
SMP icon
846
Standard Motor Products
SMP
$911M
– –
-40
Closed -$1K
SNV
847
DELISTED
Synovus
SNV
$0 ﹤0.01%
3
-143
-98% -$3.37K
SSD icon
848
Simpson Manufacturing
SSD
$8.16B
$0 ﹤0.01%
10
– –
STRL icon
849
Sterling Infrastructure
STRL
$16.7B
$0 ﹤0.01%
+4
New +$42
TIP icon
850
iShares TIPS Bond ETF
TIP
$14.5B
– –
-12
Closed -$1K
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 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.