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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
UNH icon
376
UnitedHealth
UNH
$370B
$27K 0.01%
324
+14
+5% +$1.05K
VFC icon
377
VF Corp
VFC
$5.89B
$27K 0.01%
472
– –
EL icon
378
Estee Lauder
EL
$32B
$26K 0.01%
390
– –
IXC icon
379
iShares Global Energy ETF
IXC
$2.76B
$26K 0.01%
600
– –
BBBY
380
DELISTED
Bed Bath & Beyond Inc
BBBY
$26K 0.01%
375
– –
RJI
381
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Total Return
RJI
$26K 0.01%
3,000
– –
WFM
382
DELISTED
Whole Foods Market Inc
WFM
$26K 0.01%
514
– –
CELG
383
DELISTED
Celgene Corp
CELG
$26K 0.01%
366
+140
+62% +$11.1K
AEG icon
384
Aegon
AEG
$14.1B
$25K 0.01%
4,074
– –
BLE
385
DELISTED
BlackRock Municipal Income Trust II
BLE
$25K 0.01%
1,816
– –
BP icon
386
BP
BP
$107B
$25K 0.01%
637
– –
DHS icon
387
WisdomTree US High Dividend Fund
DHS
$1.58B
$25K 0.01%
+450
New +$24.6K
COF icon
388
Capital One
COF
$134B
$24K 0.01%
307
+131
+74% +$9.62K
DOC icon
389
Healthpeak Properties
DOC
$14.8B
$24K 0.01%
+676
New +$23.3K
FAF icon
390
First American
FAF
$7.58B
$24K 0.01%
900
+100
+13% +$2.65K
SLM icon
391
SLM Corp
SLM
$5.15B
$24K 0.01%
2,798
– –
TT icon
392
Trane Technologies
TT
$106B
$24K 0.01%
423
– –
CLGX
393
DELISTED
Corelogic, Inc.
CLGX
$24K 0.01%
800
– –
LINE
394
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$24K 0.01%
838
+19
+2% +$599
HUM icon
395
Humana
HUM
$46.2B
$23K 0.01%
200
– –
SLV icon
396
iShares Silver Trust
SLV
$30.7B
$23K 0.01%
+1,197
New +$23.5K
SXT icon
397
Sensient Technologies
SXT
$5.53B
$23K 0.01%
400
– –
TSLA icon
398
Tesla
TSLA
$1.3T
$23K 0.01%
1,650
-600
-27% -$8.04K
UTG icon
399
Reaves Utility Income Fund
UTG
$3.61B
$23K 0.01%
857
– –
VEA icon
400
Vanguard FTSE Developed Markets ETF
VEA
$236B
$23K 0.01%
550
– –
14 15
16
17 18

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TU
TDAM USA Toronto, Ontario, Canada $1.61B AUM 28.05% 1-Year Est. Return
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
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
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 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.