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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
VZ icon
76
Verizon
VZ
$195B
$542K 0.2%
11,618
+657
+6% +$32.1K
BMY icon
77
Bristol-Myers Squibb
BMY
$131B
$515K 0.19%
11,134
+483
+5% +$21.2K
IJH icon
78
iShares Core S&P Mid-Cap ETF
IJH
$127B
$515K 0.19%
20,775
– –
LNC icon
79
Lincoln National
LNC
$8.86B
$506K 0.19%
12,074
– –
ETJ
80
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$571M
$497K 0.19%
46,000
– –
DD
81
DELISTED
Du Pont De Nemours E I
DD
$486K 0.18%
8,755
+620
+8% +$33.9K
WMT icon
82
Walmart Inc
WMT
$889B
$475K 0.18%
19,284
-801
-4% -$20.2K
SCG
83
DELISTED
Scana
SCG
$468K 0.18%
10,170
-851
-8% -$41.9K
DIS icon
84
Walt Disney
DIS
$181B
$467K 0.18%
7,247
+114
+2% +$7.31K
TLM
85
DELISTED
TALISMAN ENERGY INC
TLM
$467K 0.18%
40,610
-3,350
-8% -$37.5K
COV
86
DELISTED
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
$466K 0.18%
7,656
-2,334
-23% -$142K
XLK icon
87
State Street Technology Select Sector SPDR ETF
XLK
$124B
$460K 0.17%
28,754
– –
VTI icon
88
Vanguard Morningstar Total Stock Market ETF
VTI
$684B
$433K 0.16%
4,942
+4,379
+778% +$381K
KFN
89
DELISTED
KKR FINANCIAL HOLDINGS LLC COM
KFN
$431K 0.16%
41,800
+26,200
+168% +$274K
AFL icon
90
Aflac
AFL
$63.2B
$430K 0.16%
13,892
– –
MO icon
91
Altria Group
MO
$114B
$417K 0.16%
12,157
-1,434
-11% -$50.5K
MORL
92
DELISTED
ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN
MORL
$417K 0.16%
+21,050
New +$408K
PSX icon
93
Phillips 66
PSX
$81.9B
$411K 0.15%
7,116
-50
-0.7% -$2.9K
BDCL
94
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$397K 0.15%
14,200
-3,650
-20% -$100K
AMGN icon
95
Amgen
AMGN
$219B
$393K 0.15%
3,512
-261
-7% -$28.3K
BDX icon
96
Becton Dickinson
BDX
$48.4B
$391K 0.15%
4,012
-102
-2% -$9.98K
BA icon
97
Boeing
BA
$183B
$373K 0.14%
3,177
-97
-3% -$10.4K
ORCL icon
98
Oracle
ORCL
$422B
$370K 0.14%
11,162
-1,212
-10% -$39.3K
GG
99
DELISTED
Goldcorp Inc
GG
$367K 0.14%
14,134
+800
+6% +$22.1K
INTC icon
100
Intel
INTC
$513B
$366K 0.14%
15,983
+462
+3% +$10.6K
2 3
4
5 6

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NFG
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6M
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RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
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CC
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RM
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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.