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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
+3.54%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$157M
AUM Growth
-$168M
Cap. Flow
-$164M
Cap. Flow %
-104.61%
Top 10 Hldgs %
42.09%
Holding
1,019
New
91
Increased
74
Reduced
321
Closed
254

Top Buys

Rank Stock Value
1
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$1.6M
2
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$1.41M
3
IOO icon
iShares Global 100 ETF
IOO
+$439K
4
STLA icon
Stellantis
STLA
+$431K
5
XLE icon
State Street Energy Select Sector SPDR ETF
XLE
+$345K

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$17.6M
2
XOM icon
ExxonMobil
XOM
+$10.1M
3
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.12M
4
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$6.99M
5
MSFT icon
Microsoft
MSFT
+$6.81M

Sector Composition

Rank Sector Weight
1 Technology 9.35%
2 Financials 8.48%
3 Energy 6.48%
4 Healthcare 6.38%
5 Consumer Staples 5.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TMO icon
401
Thermo Fisher Scientific
TMO
$220B
$19K 0.01%
150
-520
-78% -$63.2K
UTG icon
402
Reaves Utility Income Fund
UTG
$3.61B
$19K 0.01%
571
-286
-33% -$8.64K
SFE
403
DELISTED
Safeguard Scientifics, Inc.
SFE
$19K 0.01%
1,000
– –
GDF
404
DELISTED
WESTERN ASSET GLB PARTNERS INCM FUND INC. COM
GDF
$19K 0.01%
+2,000
New +$20.1K
DIA icon
405
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46.5B
$18K 0.01%
100
-60
-38% -$10.4K
SPE
406
Special Opportunities Fund
SPE
$144M
$18K 0.01%
1,256
– –
FSD
407
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$18K 0.01%
+1,100
New +$18.3K
OKS
408
DELISTED
Oneok Partners LP
OKS
$18K 0.01%
400
– –
ETV
409
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.76B
$17K 0.01%
1,175
-7,000
-86% -$104K
FFC
410
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$17K 0.01%
800
– –
JAZZ icon
411
Jazz Pharmaceuticals
JAZZ
$16.7B
$17K 0.01%
100
-60
-38% -$9.96K
MBB icon
412
iShares MBS ETF
MBB
$39.1B
$17K 0.01%
152
+23
+18% +$2.51K
OHI icon
413
Omega Healthcare
OHI
$14.7B
$17K 0.01%
393
– –
SPXC icon
414
SPX Corp
SPXC
$10.8B
$17K 0.01%
794
– –
SWK icon
415
Stanley Black & Decker
SWK
$15.7B
$17K 0.01%
+175
New +$16.1K
UUP icon
416
Invesco DB US Dollar Index Bullish Fund
UUP
$422M
$17K 0.01%
700
– –
VAW icon
417
Vanguard Materials ETF
VAW
$3.13B
$17K 0.01%
+155
New +$16.7K
AGN
418
DELISTED
Allergan plc
AGN
$17K 0.01%
64
-50
-44% -$12.5K
FIGY
419
DELISTED
Barclays ETN+ FI Enhanced Global High Yield ETN
FIGY
$17K 0.01%
+139
New +$16.6K
GT icon
420
Goodyear
GT
$1.85B
$16K 0.01%
655
– –
SJNK icon
421
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.76B
$16K 0.01%
+545
New +$16.1K
VGK icon
422
Vanguard FTSE Europe ETF
VGK
$31.4B
$16K 0.01%
300
+4
+1% +$214
WM icon
423
Waste Management
WM
$91B
$16K 0.01%
300
– –
BP icon
424
BP
BP
$107B
$15K 0.01%
433
-741
-63% -$24.9K
CAG icon
425
Conagra Brands
CAG
$7.23B
$15K 0.01%
514
-418
-45% -$11.4K
15 16
17
18 19

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RFA
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CCT
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RM
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Carroll Financial Associates's Q4 2014 Portfolio in Review

As of Q4 2014, Carroll Financial Associates held 1,019 positions worth $157M, down 52% from $324M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Carroll Financial Associates withdrew a net $164M in Q4 2014, closing 254 positions and reducing 321 holdings. Its most notable exit was Park Sterling Corp., an estimated $5.22M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.3% of assets, down from 10% a quarter earlier, followed by Financials and Energy.

Against the trend, Carroll Financial Associates opened a new position in Stellantis worth $535K.

  • Carroll Financial Associates's largest Q4 2014 buy was Stellantis: 58,143 shares worth $535K.
  • Carroll Financial Associates added most to Vanguard Short-Term Corporate Bond ETF in Q4 2014, an estimated $1.6M increase.
  • Carroll Financial Associates's biggest Q4 2014 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $17.6M.
  • Carroll Financial Associates fully exited Park Sterling Corp. in Q4 2014, selling an estimated $5.22M.
  • Carroll Financial Associates's ten largest holdings make up 42% of its $157M portfolio in Q4 2014.
  • Carroll Financial Associates opened 91 new positions and closed 254 in Q4 2014.
  • Carroll Financial Associates's portfolio value fell 52% quarter-over-quarter to $157M.

Based on Carroll Financial Associates's 13F filing for Q4 2014, filed 9 Feb 2015.