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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
STR
201
DELISTED
QUESTAR CORP
STR
$101K 0.04%
4,500
– –
RDS.A
202
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$100K 0.04%
+1,638
New +$100K
PHA.CL
203
DELISTED
PULTEGROUP, INC 7.375% SENIOR NOTES DUE 6/01/2046
PHA.CL
$99K 0.04%
4,000
– –
RF icon
204
Regions Financial
RF
$26.9B
$98K 0.04%
10,597
– –
KRFT
205
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
$98K 0.04%
1,885
-387
-17% -$21.2K
COST icon
206
Costco
COST
$419B
$97K 0.04%
846
+367
+77% +$42.4K
NEE icon
207
NextEra Energy
NEE
$177B
$96K 0.04%
4,828
-248
-5% -$5.12K
NE
208
DELISTED
Noble Corporation
NE
$96K 0.04%
2,917
– –
GLD icon
209
SPDR Gold Trust
GLD
$141B
$95K 0.04%
744
+411
+123% +$52.8K
SCHW
210
Charles Schwab
SCHW
$187B
$95K 0.04%
4,500
– –
ETV
211
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.76B
$93K 0.04%
7,150
– –
HON icon
212
Honeywell
HON
$77.9B
$93K 0.04%
1,250
+235
+23% +$17.4K
PLPC icon
213
Preformed Line Products
PLPC
$2.31B
$93K 0.04%
1,300
– –
ALL icon
214
Allstate
ALL
$67.9B
$92K 0.03%
1,834
– –
IWD icon
215
iShares Russell 1000 Value ETF
IWD
$83.6B
$90K 0.03%
+1,052
New +$91.3K
ROST icon
216
Ross Stores
ROST
$81.9B
$88K 0.03%
2,438
– –
VMC icon
217
Vulcan Materials
VMC
$36.8B
$88K 0.03%
1,700
-300
-15% -$14.8K
NNC
218
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
$85K 0.03%
6,946
+2,736
+65% +$33.6K
BGB
219
Blackstone Strategic Credit 2027 Term Fund
BGB
$502M
$84K 0.03%
4,800
-1,000
-17% -$18.2K
ORLY icon
220
O'Reilly Automotive
ORLY
$76.4B
$83K 0.03%
9,795
– –
SU icon
221
Suncor Energy
SU
$70.4B
$82K 0.03%
2,300
– –
XLE icon
222
State Street Energy Select Sector SPDR ETF
XLE
$37.7B
$82K 0.03%
1,996
– –
FMC icon
223
FMC
FMC
$1.34B
$81K 0.03%
1,306
+143
+12% +$8.21K
NCI
224
DELISTED
Navigant Consulting, Inc.
NCI
$81K 0.03%
5,300
– –
EWZ icon
225
iShares MSCI Brazil ETF
EWZ
$8.94B
$80K 0.03%
1,676
+476
+40% +$21.2K
7 8
9
10 11

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NFG
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6M
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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
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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.