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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
AIG icon
101
American International
AIG
$42.4B
$365K 0.14%
7,519
-1,002
-12% -$47.6K
VV icon
102
Vanguard Morningstar Large-Cap ETF
VV
$54B
$355K 0.13%
4,599
– –
VXF icon
103
Vanguard Extended Market ETF
VXF
$31.2B
$349K 0.13%
4,527
+4,150
+1,101% +$310K
KMP
104
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
$349K 0.13%
4,376
+6
+0.1% +$497
HTS.PRA
105
DELISTED
HATTERAS FINANCIAL CORP CUM REDEEMABLE PFD SER A (MD)
HTS.PRA
$347K 0.13%
15,220
+8,400
+123% +$196K
BNCN
106
DELISTED
BNC Bancorp
BNCN
$346K 0.13%
25,966
-6,508
-20% -$87K
D icon
107
Dominion Energy
D
$58.8B
$342K 0.13%
5,474
-1,000
-15% -$59.3K
DVY icon
108
iShares Select Dividend ETF
DVY
$23.5B
$338K 0.13%
5,097
+2,102
+70% +$140K
RSP icon
109
Invesco S&P 500 Equal Weight ETF
RSP
$98.8B
$332K 0.13%
5,100
+300
+6% +$19.3K
GBDC icon
110
Golub Capital BDC
GBDC
$3.39B
$327K 0.12%
19,297
+408
+2% +$7.04K
CVS icon
111
CVS Health
CVS
$123B
$317K 0.12%
5,603
+652
+13% +$38.9K
MRK icon
112
Merck
MRK
$317B
$313K 0.12%
6,892
+13
+0.2% +$594
LUMN icon
113
Lumen
LUMN
$6.09B
$311K 0.12%
9,921
+9,500
+2,257% +$323K
V icon
114
Visa
V
$692B
$311K 0.12%
6,512
-2,340
-26% -$108K
STT icon
115
State Street
STT
$50.8B
$295K 0.11%
4,500
– –
HIG icon
116
Hartford Financial Services
HIG
$39.6B
$293K 0.11%
9,423
-3,000
-24% -$93.7K
NEM icon
117
Newmont
NEM
$111B
$290K 0.11%
10,339
-3,210
-24% -$95.1K
STI
118
DELISTED
SunTrust Banks, Inc.
STI
$290K 0.11%
8,953
– –
SDY icon
119
State Street SPDR S&P Dividend ETF
SDY
$23.7B
$286K 0.11%
4,155
+860
+26% +$59.4K
SLB icon
120
SLB Ltd
SLB
$76.5B
$282K 0.11%
3,194
+94
+3% +$7.72K
JCI icon
121
Johnson Controls International
JCI
$93.6B
$281K 0.11%
6,480
– –
PX
122
DELISTED
Praxair Inc
PX
$280K 0.11%
2,331
– –
MLPL
123
DELISTED
UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN
MLPL
$279K 0.11%
5,200
+200
+4% +$10.7K
EMR icon
124
Emerson Electric
EMR
$87.5B
$277K 0.1%
4,290
+9
+0.2% +$550
AMT icon
125
American Tower
AMT
$79.8B
$261K 0.1%
3,521
+898
+34% +$64.8K
3 4
5
6 7

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NFG
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6M
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RFA
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CCT
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C
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CC
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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.