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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
CMCSA icon
176
Comcast
CMCSA
$89.3B
$134K 0.05%
5,158
+224
+5% +$5.39K
IDG.CL
177
DELISTED
ING GROEP NV PRED CTF 7.3750% PERP HYBRIDD CAP SEC
IDG.CL
$134K 0.05%
5,300
– –
TEVA icon
178
Teva Pharmaceuticals
TEVA
$40.6B
$133K 0.05%
3,332
-300
-8% -$11.8K
C icon
179
Citigroup
C
$224B
$132K 0.05%
2,544
-267
-9% -$13.5K
DEO icon
180
Diageo
DEO
$51.6B
$132K 0.05%
1,000
– –
NKSH icon
181
National Bankshares
NKSH
$266M
$129K 0.05%
3,500
– –
EPS icon
182
WisdomTree US LargeCap Fund
EPS
$1.64B
$128K 0.05%
6,000
– –
OGE icon
183
OGE Energy
OGE
$9.67B
$127K 0.05%
3,766
– –
CAT icon
184
Caterpillar
CAT
$394B
$126K 0.04%
1,392
+1
+0.1% +$85
HSY icon
185
Hershey
HSY
$36.8B
$125K 0.04%
1,292
-310
-19% -$29.8K
NSC icon
186
Norfolk Southern
NSC
$76.9B
$123K 0.04%
1,325
-135
-9% -$11.6K
EMC
187
DELISTED
EMC CORPORATION
EMC
$123K 0.04%
4,907
+386
+9% +$9.36K
MLM icon
188
Martin Marietta Materials
MLM
$32.3B
$119K 0.04%
1,200
– –
FDUS icon
189
Fidus Investment
FDUS
$781M
$118K 0.04%
5,460
– –
LH icon
190
Labcorp
LH
$25.7B
$118K 0.04%
1,513
– –
SCHW
191
Charles Schwab
SCHW
$187B
$117K 0.04%
4,500
– –
YUM icon
192
Yum! Brands
YUM
$41.6B
$117K 0.04%
2,163
– –
ETV
193
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.75B
$116K 0.04%
8,325
+1,175
+16% +$15.9K
GSK icon
194
GSK
GSK
$104B
$116K 0.04%
1,752
-35
-2% -$2.27K
SBUX icon
195
Starbucks
SBUX
$120B
$115K 0.04%
2,952
+150
+5% +$5.93K
PHYS icon
196
Sprott Physical Gold
PHYS
$15.3B
$114K 0.04%
+11,500
New +$121K
COST icon
197
Costco
COST
$421B
$113K 0.04%
956
+110
+13% +$13.2K
SPXX icon
198
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$339M
$112K 0.04%
8,000
– –
IWP icon
199
iShares Russell Mid-Cap Growth ETF
IWP
$20.2B
$110K 0.04%
2,610
– –
EXC icon
200
Exelon
EXC
$46.7B
$109K 0.04%
5,608
-4,031
-42% -$81.1K
6 7
8
9 10

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6M
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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.