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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
ABBV icon
301
AbbVie
ABBV
$435B
$51K 0.02%
992
+300
+43% +$15.2K
ABT icon
302
Abbott
ABT
$187B
$51K 0.02%
1,322
+530
+67% +$20.4K
WU icon
303
Western Union
WU
$2.21B
$51K 0.02%
3,100
-1,000
-24% -$16.3K
NNC
304
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
$51K 0.02%
4,013
-500
-11% -$6.22K
UPL
305
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$51K 0.02%
1,900
+400
+27% +$9.55K
DON icon
306
WisdomTree US MidCap Dividend Fund
DON
$4.09B
$50K 0.02%
1,950
– –
FWONA icon
307
Liberty Media Series A
FWONA
$23.6B
$50K 0.02%
2,150
+231
+12% +$5.52K
BSJH
308
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
$50K 0.02%
1,800
+1,000
+125% +$27.3K
PARA
309
DELISTED
Paramount Global Class B
PARA
$49K 0.02%
788
+69
+10% +$4.35K
HYS icon
310
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.75B
$48K 0.02%
450
– –
MTD icon
311
Mettler-Toledo International
MTD
$28.6B
$47K 0.02%
200
– –
TAP icon
312
Molson Coors Class B
TAP
$8.09B
$47K 0.02%
805
– –
AIVL icon
313
WisdomTree US AI Enhanced Value Fund
AIVL
$436M
$46K 0.02%
650
– –
ANF icon
314
Abercrombie & Fitch
ANF
$5B
$46K 0.02%
1,204
– –
ING icon
315
ING
ING
$102B
$45K 0.01%
3,176
– –
ITT icon
316
ITT
ITT
$19.1B
$45K 0.01%
1,050
-300
-22% -$12.7K
IVW icon
317
iShares S&P 500 Growth ETF
IVW
$77.6B
$44K 0.01%
1,744
– –
TTE icon
318
TotalEnergies
TTE
$190B
$44K 0.01%
427,596,144
+33,574,216
+9% +$3.36K
COL
319
DELISTED
Rockwell Collins
COL
$44K 0.01%
554
– –
CCI icon
320
Crown Castle
CCI
$32.2B
$43K 0.01%
580
– –
BCV
321
Bancroft Fund
BCV
$139M
$42K 0.01%
2,169
– –
SNY icon
322
Sanofi
SNY
$104B
$42K 0.01%
811
– –
LNCE
323
DELISTED
Snyders-Lance, Inc.
LNCE
$42K 0.01%
1,500
-133
-8% -$3.62K
ADBE icon
324
Adobe
ADBE
$105B
$41K 0.01%
622
– –
AIG icon
325
American International
AIG
$41.3B
$40K 0.01%
803
+277
+53% +$13.8K
11 12
13
14 15

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NFG
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6M
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RFA
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CCT
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C
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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
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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.