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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
SVU
851
DELISTED
SUPERVALU Inc.
SVU
$0 ﹤0.01%
4
– –
PHH
852
DELISTED
PHH Corporation
PHH
$0 ﹤0.01%
32
– –
FCRE
853
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
– –
0
– –
FINL
854
DELISTED
Finish Line
FINL
$0 ﹤0.01%
25
– –
GXP
855
DELISTED
Great Plains Energy Incorporated
GXP
$0 ﹤0.01%
34
– –
HSNI
856
DELISTED
HSN, Inc.
HSNI
$0 ﹤0.01%
11
– –
PMC
857
DELISTED
PharMerica Corporation
PMC
$0 ﹤0.01%
+27
New +$364
WBMD
858
DELISTED
WebMD Health Corp.
WBMD
$0 ﹤0.01%
3
– –
UTEK
859
DELISTED
Ultratech Inc.
UTEK
$0 ﹤0.01%
13
– –
ELNK
860
DELISTED
EarthLink Holdings Corp.
ELNK
$0 ﹤0.01%
100
– –
IQNT
861
DELISTED
Inteliquent, Inc.
IQNT
$0 ﹤0.01%
+30
New +$239
COB
862
DELISTED
CommunityOne Bancorp
COB
$0 ﹤0.01%
14
– –
ITC
863
DELISTED
ITC HOLDINGS CORP
ITC
– –
-441
Closed -$13K
SMT
864
DELISTED
SMART TECHNOLOGIES INC COM NEW
SMT
$0 ﹤0.01%
+20
New +$411
IND.CL
865
DELISTED
ING GROEP N.V.% ING PERPETUAL DEBT SECS
IND.CL
– –
-900
Closed -$22K
FMER
866
DELISTED
FIRSTMERIT CORP
FMER
$0 ﹤0.01%
24
– –
TE
867
DELISTED
TECO ENERGY INC
TE
$0 ﹤0.01%
+27
New +$460
ACG
868
DELISTED
AllianceBernstein Income Fund Inc
ACG
$0 ﹤0.01%
108
– –
ORIG
869
DELISTED
Ocean Rig UDW Inc. Class A Common Shares
ORIG
– –
0
– -$34K
CYT
870
DELISTED
CYTEC INDS INC
CYT
$0 ﹤0.01%
24
– –
AOL
871
DELISTED
AOL INC COMMON STOCK
AOL
$0 ﹤0.01%
3
– –
RFMD
872
DELISTED
RF MICRO DEVICES INC
RFMD
$0 ﹤0.01%
100
– –
KMR
873
DELISTED
KINDER MORGAN MANAGEMENT LLC
KMR
$0 ﹤0.01%
464,168
-7,287
-2% -$534K
AZC
874
DELISTED
AUGUSTA RESOURCE CORP
AZC
$0 ﹤0.01%
+100
New +$209
FIO
875
DELISTED
FUSION-IO INC COM
FIO
$0 ﹤0.01%
30
– –
33 34
35
36 37

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6M
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RFA
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CCT
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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.