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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
ET icon
176
Energy Transfer Partners
ET
$69.7B
$131K 0.05%
8,000
– –
GOOG icon
177
Alphabet (Google) Class C
GOOG
$4.32T
$131K 0.05%
6,022
– –
IAT icon
178
iShares US Regional Banks ETF
IAT
$682M
$128K 0.05%
4,320
– –
LH icon
179
Labcorp
LH
$25.9B
$128K 0.05%
1,513
-23
-1% -$1.94K
DEO icon
180
Diageo
DEO
$53.5B
$127K 0.05%
+1,000
New +$125K
NKSH icon
181
National Bankshares
NKSH
$268M
$125K 0.05%
3,500
– –
EPS icon
182
WisdomTree US LargeCap Fund
EPS
$1.64B
$117K 0.04%
6,000
– –
MLM icon
183
Martin Marietta Materials
MLM
$32.9B
$117K 0.04%
1,200
– –
CAT icon
184
Caterpillar
CAT
$387B
$116K 0.04%
1,391
– –
SWN
185
DELISTED
Southwestern Energy Company
SWN
$116K 0.04%
+3,200
New +$121K
EMC
186
DELISTED
EMC CORPORATION
EMC
$115K 0.04%
4,521
+1,648
+57% +$42.8K
GSK icon
187
GSK
GSK
$106B
$112K 0.04%
1,787
+67
+4% +$4.31K
NSC icon
188
Norfolk Southern
NSC
$75.8B
$112K 0.04%
1,460
+70
+5% +$5.24K
CMCSA icon
189
Comcast
CMCSA
$90.3B
$111K 0.04%
4,934
+312
+7% +$6.79K
YUM icon
190
Yum! Brands
YUM
$41.2B
$111K 0.04%
2,163
– –
BX icon
191
Blackstone
BX
$110B
$109K 0.04%
4,484
– –
SPXX icon
192
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$341M
$108K 0.04%
8,000
– –
L icon
193
Loews
L
$23.6B
$107K 0.04%
2,307
– –
NI icon
194
NiSource
NI
$20.6B
$107K 0.04%
8,885
– –
SBUX icon
195
Starbucks
SBUX
$121B
$107K 0.04%
2,802
– –
FDUS icon
196
Fidus Investment
FDUS
$767M
$105K 0.04%
5,460
– –
TFCF
197
DELISTED
Twenty-First Century Fox, Inc. Class B
TFCF
$103K 0.04%
+3,100
New +$97.8K
IWP icon
198
iShares Russell Mid-Cap Growth ETF
IWP
$20.7B
$102K 0.04%
2,610
– –
CSX icon
199
CSX Corp
CSX
$93.5B
$101K 0.04%
11,790
– –
PXH icon
200
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.96B
$101K 0.04%
5,000
– –
6 7
8
9 10

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TU
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NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

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.