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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
CHYR
926
DELISTED
CHYRONHEGO CORP COM STK (NY)
CHYR
$0 ﹤0.01%
+50
New +$94
SCMR
927
DELISTED
SYCAMORE NETWORKS INC NEW
SCMR
$0 ﹤0.01%
2
– –
ASCMA
928
DELISTED
Ascent Capital Group, Inc. Series A
ASCMA
$0 ﹤0.01%
10
-2
-17% -$169
MDTH
929
DELISTED
MEDCATH CORPORATION
MDTH
$0 ﹤0.01%
500
– –
PCX
930
DELISTED
PATRIOT COAL CORPORATION COM STK (DE)
PCX
$0 ﹤0.01%
230
– –
BCAR
931
DELISTED
BANK OF THE CAROLINAS CORP COM STK
BCAR
$0 ﹤0.01%
691
– –
AMR
932
DELISTED
AMR CORP
AMR
$0 ﹤0.01%
14
– –
AAR
933
DELISTED
AMR CRP 7.875% (PINES) 7/13/39
AAR
– –
-100
Closed -$2K
BCON
934
DELISTED
BEACON POWER CORPORATION COM
BCON
$0 ﹤0.01%
1,410
– –
ILI
935
DELISTED
INTERLEUKIN GENETICS INC
ILI
$0 ﹤0.01%
150
– –
FNM
936
DELISTED
FANNIE MAE
FNM
$0 ﹤0.01%
100
– –
HYGS
937
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
4
– –
PGV
938
DELISTED
VELOCITY PORTFOLIO GROUP INC COM STK
PGV
– –
-11,112
Closed -$6K
NT
939
DELISTED
NORTEL NETWORKS CRP(HLDG CO) NEW
NT
$0 ﹤0.01%
60
– –
IAR
940
DELISTED
IDEARC INC COM STK
IAR
$0 ﹤0.01%
79
– –
LEH.PRL
941
DELISTED
LEHMAN BROS HLDGS CAP TR IV PFD SER L
LEH.PRL
$0 ﹤0.01%
400
– –
DIGA
942
DELISTED
DIGITAL ANGEL CORP COM STK (DE)
DIGA
– –
-35
Closed –
KPA.PRC
943
DELISTED
INNKEEPERS USA TR8.0% SER C CUM PFD
KPA.PRC
– –
-500
Closed –
TLS
944
DELISTED
TELSTRA CRP LTD ADS(RP 5 ORD)
TLS
– –
-24
Closed –
CYE
945
DELISTED
BLACKROCK CORP HG YLD FD III, INC.
CYE
– –
-200
Closed -$1K
OTV
946
DELISTED
ONETRAVEL HOLDINGS, INC. (NEW)
OTV
$0 ﹤0.01%
+301
New –
JRO
947
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
– –
-41
Closed –
LPNT
948
DELISTED
LifePoint Health, Inc.
LPNT
$0 ﹤0.01%
1
– –
FCH
949
DELISTED
Felcor Lodging Trust
FCH
$0 ﹤0.01%
21
– –
VNR
950
DELISTED
Vanguard Natural Resources, LLC
VNR
– –
-600
Closed -$16K
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.