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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
MORL
126
DELISTED
ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN
MORL
$252K 0.09%
13,300
-7,750
-37% -$144K
AXP icon
127
American Express
AXP
$230B
$249K 0.09%
2,746
-435
-14% -$35.7K
UNP icon
128
Union Pacific
UNP
$175B
$248K 0.09%
2,954
+72
+2% +$5.7K
ETJ
129
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$572M
$236K 0.08%
21,000
-25,000
-54% -$279K
DLTR icon
130
Dollar Tree
DLTR
$25.2B
$235K 0.08%
4,170
– –
RJF icon
131
Raymond James Financial
RJF
$34.2B
$234K 0.08%
6,750
– –
BBRC
132
DELISTED
Columbia Beyond BRICs ETF
BBRC
$234K 0.08%
+11,400
New +$235K
BDCL
133
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$232K 0.08%
7,800
-6,400
-45% -$183K
OKS
134
DELISTED
Oneok Partners LP
OKS
$231K 0.08%
4,400
– –
SIVR icon
135
abrdn Physical Silver Shares ETF
SIVR
$4.41B
$230K 0.08%
+12,000
New +$247K
QQQ icon
136
Invesco QQQ Trust
QQQ
$484B
$218K 0.08%
2,482
-320
-11% -$26.7K
VWO icon
137
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$218K 0.08%
5,314
– –
GILD icon
138
Gilead Sciences
GILD
$166B
$216K 0.08%
2,886
+135
+5% +$9.4K
NVS icon
139
Novartis
NVS
$297B
$213K 0.08%
2,959
-117
-4% -$8.13K
ZBH icon
140
Zimmer Biomet
ZBH
$18.3B
$212K 0.08%
2,346
+207
+10% +$17.9K
IYW icon
141
iShares US Technology ETF
IYW
$25.1B
$211K 0.08%
9,576
– –
SNDK
142
DELISTED
SANDISK CORP
SNDK
$211K 0.08%
3,000
– –
BML.PRH
143
Bank of America Depository Shares Series 2
BML.PRH
$829M
$209K 0.07%
11,900
– –
GOOG icon
144
Alphabet (Google) Class C
GOOG
$4.33T
$208K 0.07%
7,468
+1,446
+24% +$36.6K
IEV icon
145
iShares Europe ETF
IEV
$1.7B
$202K 0.07%
4,275
+4,055
+1,843% +$185K
VCR icon
146
Vanguard Consumer Discretionary ETF
VCR
$6.34B
$199K 0.07%
1,848
+90
+5% +$9.31K
PPG icon
147
PPG Industries
PPG
$26.6B
$194K 0.07%
2,046
+200
+11% +$18K
CVS icon
148
CVS Health
CVS
$122B
$186K 0.07%
2,603
-3,000
-54% -$193K
QEP
149
DELISTED
QEP RESOURCES, INC.
QEP
$183K 0.07%
6,000
– –
MLPL
150
DELISTED
UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN
MLPL
$180K 0.06%
3,200
-2,000
-38% -$107K
4 5
6
7 8

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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.