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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
FITB
126
Fifth Third Bancorp
FITB
$51.8B
$243K 0.09%
13,497
-32
-0.2% -$602
UPBD icon
127
Upbound Group
UPBD
$1.16B
$243K 0.09%
6,400
-1,800
-22% -$69.4K
AXP icon
128
American Express
AXP
$230B
$240K 0.09%
3,181
+125
+4% +$9.4K
DLTR icon
129
Dollar Tree
DLTR
$25.2B
$238K 0.09%
4,170
– –
BMS
130
DELISTED
Bemis
BMS
$237K 0.09%
6,100
-5,900
-49% -$239K
SPLV icon
131
Invesco S&P 500 Low Volatility ETF
SPLV
$7.21B
$236K 0.09%
7,590
+5,510
+265% +$174K
OKS
132
DELISTED
Oneok Partners LP
OKS
$233K 0.09%
4,400
– –
SIGI icon
133
Selective Insurance
SIGI
$5.73B
$226K 0.09%
+9,245
New +$225K
UNP icon
134
Union Pacific
UNP
$174B
$223K 0.08%
2,882
– –
QQQ icon
135
Invesco QQQ Trust
QQQ
$484B
$221K 0.08%
2,802
-125
-4% -$9.52K
AVGO icon
136
Broadcom
AVGO
$2.04T
$215K 0.08%
50,000
– –
BML.PRH
137
Bank of America Depository Shares Series 2
BML.PRH
$829M
$215K 0.08%
11,900
– –
VWO icon
138
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$213K 0.08%
5,314
– –
TRW
139
DELISTED
TRW AUTOMOTIVE HOLDINGS CORP
TRW
$213K 0.08%
3,000
– –
NVS icon
140
Novartis
NVS
$297B
$211K 0.08%
3,076
+39
+1% +$2.58K
ESRX
141
DELISTED
Express Scripts Holding Company
ESRX
$207K 0.08%
3,364
+6
+0.2% +$388
EXC icon
142
Exelon
EXC
$47B
$203K 0.08%
9,639
-2,243
-19% -$49.1K
PGX icon
143
Invesco Preferred ETF
PGX
$3.79B
$202K 0.08%
14,825
+3,300
+29% +$45.8K
NKE icon
144
Nike
NKE
$61.9B
$196K 0.07%
5,400
+1,400
+35% +$45.7K
IYW icon
145
iShares US Technology ETF
IYW
$25.2B
$188K 0.07%
9,576
+2,800
+41% +$54.4K
RJF icon
146
Raymond James Financial
RJF
$34B
$187K 0.07%
6,750
– –
KMI icon
147
Kinder Morgan
KMI
$68.7B
$182K 0.07%
5,118
+3,100
+154% +$116K
SNDK
148
DELISTED
SANDISK CORP
SNDK
$178K 0.07%
3,000
– –
VCR icon
149
Vanguard Consumer Discretionary ETF
VCR
$6.33B
$173K 0.07%
1,758
– –
GILD icon
150
Gilead Sciences
GILD
$165B
$172K 0.06%
2,751
+411
+18% +$24.6K
4 5
6
7 8

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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.