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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
EES icon
426
WisdomTree US SmallCap Earnings Fund
EES
$731M
$19K 0.01%
708
– –
EXPE icon
427
Expedia Group
EXPE
$37.3B
$19K 0.01%
257
– –
ITB icon
428
iShares US Home Construction ETF
ITB
$2.35B
$19K 0.01%
775
+425
+121% +$10.5K
KXI icon
429
iShares Global Consumer Staples ETF
KXI
$1.07B
$19K 0.01%
440
– –
MS icon
430
Morgan Stanley
MS
$340B
$19K 0.01%
607
+193
+47% +$5.96K
RPG icon
431
Invesco S&P 500 Pure Growth ETF
RPG
$2.09B
$19K 0.01%
1,305
+330
+34% +$4.78K
QVCGA
432
DELISTED
QVC Group Inc Series A
QVCGA
$19K 0.01%
16
– –
AET
433
DELISTED
Aetna Inc
AET
$19K 0.01%
258
– –
NQU
434
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$19K 0.01%
1,466
– –
AGN
435
DELISTED
Allergan Inc
AGN
$19K 0.01%
153
+98
+178% +$11.9K
BRW
436
Saba Capital Income & Opportunities Fund
BRW
$339M
$18K 0.01%
1,580
– –
IXJ icon
437
iShares Global Healthcare ETF
IXJ
$4.18B
$18K 0.01%
406
– –
LYB icon
438
LyondellBasell Industries
LYB
$19.2B
$18K 0.01%
+201
New +$16.9K
MSI icon
439
Motorola Solutions
MSI
$77.4B
$18K 0.01%
282
+14
+5% +$915
O icon
440
Realty Income
O
$59.1B
$18K 0.01%
+460
New +$18.2K
PID icon
441
Invesco International Dividend Achievers ETF
PID
$919M
$18K 0.01%
1,000
-1,000
-50% -$18K
PF
442
DELISTED
Pinnacle Foods, Inc.
PF
$18K 0.01%
600
– –
PWE
443
DELISTED
Penn West Energy Petroleum Ltd
PWE
$18K 0.01%
2,150
– –
YHOO
444
DELISTED
Yahoo Inc
YHOO
$18K 0.01%
500
-750
-60% -$28.6K
ETP
445
DELISTED
Energy Transfer Partners L.p.
ETP
$18K 0.01%
340
– –
GT icon
446
Goodyear
GT
$1.85B
$17K 0.01%
655
– –
ICE icon
447
Intercontinental Exchange
ICE
$84.4B
$17K 0.01%
425
+270
+174% +$11.4K
PGJ icon
448
Invesco Golden Dragon China ETF
PGJ
$98.7M
$17K 0.01%
+568
New +$17.4K
RNP icon
449
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$17K 0.01%
1,000
– –
RSG icon
450
Republic Services
RSG
$65.7B
$17K 0.01%
500
– –
16 17
18
19 20

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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.