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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
MDLZ icon
151
Mondelez International
MDLZ
$80.4B
$170K 0.06%
5,426
+335
+7% +$10.4K
PRFZ icon
152
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.88B
$170K 0.06%
+9,500
New +$165K
ZBH icon
153
Zimmer Biomet
ZBH
$18.5B
$170K 0.06%
2,139
-7,126
-77% -$561K
QEP
154
DELISTED
QEP RESOURCES, INC.
QEP
$166K 0.06%
6,000
– –
TGT icon
155
Target
TGT
$67B
$156K 0.06%
2,440
+387
+19% +$26.3K
F icon
156
Ford
F
$55.5B
$154K 0.06%
9,154
+3,000
+49% +$50.7K
PPG icon
157
PPG Industries
PPG
$26.6B
$154K 0.06%
1,846
+226
+14% +$18.1K
GPC icon
158
Genuine Parts
GPC
$18.6B
$152K 0.06%
1,885
+450
+31% +$36.5K
WPP icon
159
WPP
WPP
$5.89B
$152K 0.06%
1,480
– –
ADM icon
160
Archer Daniels Midland
ADM
$37B
$148K 0.06%
4,038
– –
HSY icon
161
Hershey
HSY
$36.9B
$148K 0.06%
1,602
– –
LLY icon
162
Eli Lilly
LLY
$1.06T
$148K 0.06%
2,942
+117
+4% +$6.13K
ED icon
163
Consolidated Edison
ED
$39.8B
$142K 0.05%
2,588
– –
IBB icon
164
iShares Biotechnology ETF
IBB
$9.67B
$142K 0.05%
2,043
-15
-0.7% -$983
APC
165
DELISTED
Anadarko Petroleum
APC
$141K 0.05%
1,525
– –
AMX icon
166
America Movil
AMX
$71.9B
$139K 0.05%
+7,022
New +$145K
PNC icon
167
PNC Financial Services
PNC
$101B
$139K 0.05%
1,929
– –
CLX icon
168
Clorox
CLX
$12.9B
$138K 0.05%
1,696
– –
DAI
169
DELISTED
DAIMLER AG
DAI
$138K 0.05%
1,777
– –
ACWI icon
170
iShares MSCI ACWI ETF
ACWI
$33.5B
$137K 0.05%
2,555
– –
NWL icon
171
Newell Brands
NWL
$2.52B
$137K 0.05%
5,000
– –
TEVA icon
172
Teva Pharmaceuticals
TEVA
$41.7B
$137K 0.05%
+3,632
New +$142K
C icon
173
Citigroup
C
$225B
$136K 0.05%
2,811
+180
+7% +$9.1K
OGE icon
174
OGE Energy
OGE
$9.74B
$135K 0.05%
3,766
– –
IDG.CL
175
DELISTED
ING GROEP NV PRED CTF 7.3750% PERP HYBRIDD CAP SEC
IDG.CL
$132K 0.05%
5,300
– –
5 6
7
8 9

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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.