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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
+1.82%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$305M
AUM Growth
+$23.5M
Cap. Flow
-$13.5M
Cap. Flow %
-4.43%
Top 10 Hldgs %
40.12%
Holding
1,104
New
165
Increased
242
Reduced
76
Closed
181

Top Buys

Rank Stock Value
1
VIG icon
Vanguard Dividend Appreciation ETF
VIG
+$3.76M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.32M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.37M
4
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$2.03M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$2M

Top Sells

Rank Stock Value
1
KMR
KINDER MORGAN MANAGEMENT LLC
KMR
+$31.7M
2
BAC.PRE icon
Bank of America Depository Shares Series E
BAC.PRE
+$2.62M
3
GS.PRA icon
Goldman Sachs Group Inc Depositary Shares
GS.PRA
+$1.99M
4
HRL icon
Hormel Foods
HRL
+$1.46M
5
MS.PRA icon
Morgan Stanley Series A Preferred Stock
MS.PRA
+$1.27M

Sector Composition

Rank Sector Weight
1 Financials 12.17%
2 Technology 9.66%
3 Energy 9.29%
4 Healthcare 6.5%
5 Industrials 5.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FHN icon
251
First Horizon
FHN
$12.1B
$70K 0.02%
5,636
+4,457
+378% +$53.1K
PFF icon
252
iShares Preferred and Income Securities ETF
PFF
$13.3B
$70K 0.02%
1,800
– –
PTF icon
253
Invesco Dorsey Wright Technology Momentum ETF
PTF
$656M
$69K 0.02%
5,940
– –
ROK icon
254
Rockwell Automation
ROK
$49B
$69K 0.02%
554
– –
VDC icon
255
Vanguard Consumer Staples ETF
VDC
$7.99B
$68K 0.02%
614
-55
-8% -$5.92K
EELV icon
256
Invesco S&P Emerging Markets Low Volatility ETF
EELV
$428M
$67K 0.02%
2,500
+1,500
+150% +$38.9K
GG
257
DELISTED
Goldcorp Inc
GG
$67K 0.02%
2,734
-1,500
-35% -$38.1K
BIIB icon
258
Biogen
BIIB
$30.7B
$66K 0.02%
215
+46
+27% +$14.6K
HPQ icon
259
HP
HPQ
$27.5B
$66K 0.02%
4,507
+1,413
+46% +$19K
IJR icon
260
iShares Core S&P Small-Cap ETF
IJR
$112B
$66K 0.02%
1,200
– –
XEL icon
261
Xcel Energy
XEL
$48.8B
$66K 0.02%
2,163
+98
+5% +$2.86K
GIS icon
262
General Mills
GIS
$19.7B
$65K 0.02%
1,258
+428
+52% +$21.2K
GLW icon
263
Corning
GLW
$143B
$65K 0.02%
3,110
+100
+3% +$1.88K
KDP icon
264
Keurig Dr Pepper
KDP
$40.8B
$65K 0.02%
1,200
– –
GLD icon
265
SPDR Gold Trust
GLD
$141B
$64K 0.02%
521
+155
+42% +$19.3K
TJX icon
266
TJX Companies
TJX
$178B
$64K 0.02%
+2,120
New +$64.2K
TLGT
267
DELISTED
Teligent, Inc
TLGT
$64K 0.02%
1,125
– –
EMN icon
268
Eastman Chemical
EMN
$8.42B
$63K 0.02%
730
+200
+38% +$16.4K
ITM icon
269
VanEck Intermediate Muni ETF
ITM
$2.15B
$62K 0.02%
+1,365
New +$61.8K
VGT icon
270
Vanguard Information Technology ETF
VGT
$149B
$61K 0.02%
5,368
+888
+20% +$9.99K
XLV icon
271
State Street Health Care Select Sector SPDR ETF
XLV
$42.7B
$61K 0.02%
1,049
+117
+13% +$6.74K
RAI
272
DELISTED
Reynolds American Inc
RAI
$61K 0.02%
2,300
+1,780
+342% +$44.8K
AIVI icon
273
WisdomTree International AI Enhanced Value Fund
AIVI
$63.9M
$60K 0.02%
1,220
– –
BEN icon
274
Franklin Resources
BEN
$17.2B
$60K 0.02%
1,113
– –
RCI icon
275
Rogers Communications
RCI
$18.6B
$60K 0.02%
1,443
+1,073
+290% +$43.7K
9 10
11
12 13

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Carroll Financial Associates's Q1 2014 Portfolio in Review

As of Q1 2014, Carroll Financial Associates held 1,104 positions worth $305M, up 8.3% from $281M the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Carroll Financial Associates withdrew a net $13.5M in Q1 2014, closing 181 positions and reducing 76 holdings. Its most notable exit was Bank of America Depository Shares Series E, an estimated $2.62M position sold in full.

By sector, the portfolio is most concentrated in Financials at 12% of assets, down from 13% a quarter earlier, followed by Technology and Energy.

Against the trend, Carroll Financial Associates opened a new position in Vanguard FTSE All-World ex-US ETF worth $1.28M.

  • Carroll Financial Associates's largest Q1 2014 buy was Vanguard FTSE All-World ex-US ETF: 25,507 shares worth $1.28M.
  • Carroll Financial Associates added most to Vanguard Dividend Appreciation ETF in Q1 2014, an estimated $3.76M increase.
  • Carroll Financial Associates's biggest Q1 2014 reduction was KINDER MORGAN MANAGEMENT LLC, cutting an estimated $31.7M.
  • Carroll Financial Associates fully exited Bank of America Depository Shares Series E in Q1 2014, selling an estimated $2.62M.
  • Carroll Financial Associates's ten largest holdings make up 40% of its $305M portfolio in Q1 2014.
  • Carroll Financial Associates opened 165 new positions and closed 181 in Q1 2014.
  • Carroll Financial Associates's portfolio value rose 8.3% quarter-over-quarter to $305M.

Based on Carroll Financial Associates's 13F filing for Q1 2014, filed 2 May 2014.