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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
NQI
901
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
– –
-500
Closed -$6K
GSF.CL
902
DELISTED
GOLDMAN SACHS GROUP INC 6.125% NTS DUE 2060
GSF.CL
– –
-500
Closed -$12K
ADEP
903
DELISTED
Adept Technology Inc
ADEP
– –
-2,800
Closed -$20K
HSP
904
DELISTED
HOSPIRA INC
HSP
$0 ﹤0.01%
20
-100
-83% -$4.03K
IFNA
905
DELISTED
ISHARES NORTH AMERICA REAL ESTATE ETF
IFNA
– –
-238
Closed -$11K
EXL
906
DELISTED
EXCEL TRUST , INC COM STK
EXL
– –
-1,000
Closed -$12K
ANR
907
DELISTED
Alpha Natural Resources Inc
ANR
– –
-300
Closed -$1K
AOL
908
DELISTED
AOL INC COMMON STOCK
AOL
$0 ﹤0.01%
4
+1
+33% +$41
TRW
909
DELISTED
TRW AUTOMOTIVE HOLDINGS CORP
TRW
– –
-3,000
Closed -$213K
SWY
910
DELISTED
SAFEWAY INC
SWY
$0 ﹤0.01%
+11
New +$330
AUXL
911
DELISTED
AUXILIUM PHARAMCEUTICALS INC
AUXL
– –
-2,700
Closed -$49K
RFMD
912
DELISTED
RF MICRO DEVICES INC
RFMD
$0 ﹤0.01%
100
– –
TIBX
913
DELISTED
TIBCO SOFTWARE INC
TIBX
$0 ﹤0.01%
40
– –
KMR
914
DELISTED
KINDER MORGAN MANAGEMENT LLC
KMR
$0 ﹤0.01%
456,407
-7,761
-2% -$541K
AZC
915
DELISTED
AUGUSTA RESOURCE CORP
AZC
– –
-100
Closed –
FIO
916
DELISTED
FUSION-IO INC COM
FIO
$0 ﹤0.01%
30
– –
NCU
917
DELISTED
NUVEEN (CAL) PREM INCM MUNI FD
NCU
– –
-50
Closed –
BEAM
918
DELISTED
BEAM INC COM STK (DE)
BEAM
– –
-128
Closed -$8K
JBI.CL
919
DELISTED
LEHMAN ABS CP 7.785% CP BKD TR CERT DUKE CAP NT 2003-3 A-1
JBI.CL
– –
-400
Closed -$10K
ELN
920
DELISTED
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
– –
-51
Closed –
IGK.CL
921
DELISTED
ING GROEP NV PERPETUAL HYBRID CAP SEC (NL)
IGK.CL
– –
-3,125
Closed -$79K
DELL
922
DELISTED
DELL INC
DELL
– –
-229
Closed -$3K
ASTX
923
DELISTED
ASTEX PHARMACEUTICALS, INC COM
ASTX
– –
-300
Closed -$2K
BCS.RT
924
DELISTED
BARCLAYS PLC RTS EXP 10/2/2013 (GBR)
BCS.RT
– –
-29
Closed –
C.PRR
925
DELISTED
CITIGROUP CAPITAL X CAP SECS-TRUPS
C.PRR
– –
-400
Closed -$10K
35 36
37
38 39

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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.