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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
VXF icon
101
Vanguard Extended Market ETF
VXF
$31.6B
$380K 0.14%
4,597
+70
+2% +$5.58K
RSP icon
102
Invesco S&P 500 Equal Weight ETF
RSP
$99.5B
$363K 0.13%
5,100
– –
KMP
103
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
$360K 0.13%
4,473
+97
+2% +$7.83K
D icon
104
Dominion Energy
D
$59.6B
$354K 0.13%
5,474
– –
KMI icon
105
Kinder Morgan
KMI
$69.4B
$342K 0.12%
9,508
+4,390
+86% +$154K
INTC icon
106
Intel
INTC
$510B
$333K 0.12%
12,847
-3,136
-20% -$75.9K
SDY icon
107
State Street SPDR S&P Dividend ETF
SDY
$23.9B
$333K 0.12%
4,599
+444
+11% +$31.9K
STT icon
108
State Street
STT
$50.9B
$330K 0.12%
4,500
– –
LUMN icon
109
Lumen
LUMN
$6.48B
$325K 0.12%
10,214
+293
+3% +$9.36K
PGHY icon
110
Invesco Global ex-US High Yield Corporate Bond ETF
PGHY
$227M
$322K 0.11%
12,900
+10,600
+461% +$265K
SPLV icon
111
Invesco S&P 500 Low Volatility ETF
SPLV
$7.23B
$318K 0.11%
9,595
+2,005
+26% +$65K
SLB icon
112
SLB Ltd
SLB
$75.8B
$312K 0.11%
3,470
+276
+9% +$24.9K
ORCL icon
113
Oracle
ORCL
$417B
$309K 0.11%
8,087
-3,075
-28% -$106K
EMR icon
114
Emerson Electric
EMR
$88.4B
$305K 0.11%
4,351
+61
+1% +$4.08K
GBDC icon
115
Golub Capital BDC
GBDC
$3.42B
$303K 0.11%
16,234
-3,063
-16% -$53.3K
PX
116
DELISTED
Praxair Inc
PX
$303K 0.11%
2,331
– –
XLK icon
117
State Street Technology Select Sector SPDR ETF
XLK
$123B
$300K 0.11%
16,810
-11,944
-42% -$202K
MRK icon
118
Merck
MRK
$317B
$299K 0.11%
6,279
-613
-9% -$28K
FITB
119
Fifth Third Bancorp
FITB
$52B
$284K 0.1%
13,523
+26
+0.2% +$509
IWF icon
120
iShares Russell 1000 Growth ETF
IWF
$127B
$283K 0.1%
13,188
+9,260
+236% +$190K
NKE icon
121
Nike
NKE
$62.1B
$278K 0.1%
7,072
+1,672
+31% +$64K
STI
122
DELISTED
SunTrust Banks, Inc.
STI
$274K 0.1%
7,453
-1,500
-17% -$52.3K
PRFZ icon
123
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.88B
$273K 0.1%
14,000
+4,500
+47% +$83.8K
JCI icon
124
Johnson Controls International
JCI
$92.7B
$261K 0.09%
4,870
-1,610
-25% -$79.2K
VOO icon
125
Vanguard S&P 500 ETF
VOO
$1.01T
$258K 0.09%
+1,530
New +$248K
3 4
5
6 7

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6M
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RFA
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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.