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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
NCU
876
DELISTED
NUVEEN (CAL) PREM INCM MUNI FD
NCU
$0 ﹤0.01%
+50
New +$652
EPL
877
DELISTED
EPL OIL & GAS, INC COMMON STK
EPL
– –
-365
Closed -$10K
ELN
878
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
$0 ﹤0.01%
51
– –
BCS.RT
879
DELISTED
BARCLAYS PLC RTS EXP 10/2/2013 (GBR)
BCS.RT
$0 ﹤0.01%
+29
New +$163
SCMR
880
DELISTED
SYCAMORE NETWORKS INC NEW
SCMR
$0 ﹤0.01%
+2
New –
ASCMA
881
DELISTED
Ascent Capital Group, Inc. Series A
ASCMA
$0 ﹤0.01%
12
– –
MDTH
882
DELISTED
MEDCATH CORPORATION
MDTH
$0 ﹤0.01%
+500
New –
PCX
883
DELISTED
PATRIOT COAL CORPORATION COM STK (DE)
PCX
$0 ﹤0.01%
230
– –
BCAR
884
DELISTED
BANK OF THE CAROLINAS CORP COM STK
BCAR
$0 ﹤0.01%
691
– –
EK
885
DELISTED
EASTMAN KODAK CO
EK
– –
-291
Closed –
AMR
886
DELISTED
AMR CORP
AMR
$0 ﹤0.01%
14
– –
BCON
887
DELISTED
BEACON POWER CORPORATION COM
BCON
$0 ﹤0.01%
1,410
– –
ILI
888
DELISTED
INTERLEUKIN GENETICS INC
ILI
$0 ﹤0.01%
150
– –
FNM
889
DELISTED
FANNIE MAE
FNM
$0 ﹤0.01%
100
– –
HYGS
890
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
4
– –
NT
891
DELISTED
NORTEL NETWORKS CRP(HLDG CO) NEW
NT
$0 ﹤0.01%
60
– –
IAR
892
DELISTED
IDEARC INC COM STK
IAR
$0 ﹤0.01%
+79
New –
LEH.PRL
893
DELISTED
LEHMAN BROS HLDGS CAP TR IV PFD SER L
LEH.PRL
$0 ﹤0.01%
400
– –
DIGA
894
DELISTED
DIGITAL ANGEL CORP COM STK (DE)
DIGA
$0 ﹤0.01%
35
– –
KPA.PRC
895
DELISTED
INNKEEPERS USA TR8.0% SER C CUM PFD
KPA.PRC
$0 ﹤0.01%
500
– –
TLS
896
DELISTED
TELSTRA CRP LTD ADS(RP 5 ORD)
TLS
$0 ﹤0.01%
+24
New –
STEC
897
DELISTED
STEC INC COM STK
STEC
– –
-126
Closed –
JRO
898
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$0 ﹤0.01%
+41
New +$512
LPNT
899
DELISTED
LifePoint Health, Inc.
LPNT
$0 ﹤0.01%
1
– –
FCH
900
DELISTED
Felcor Lodging Trust
FCH
$0 ﹤0.01%
21
– –
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.