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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
BEAM
526
DELISTED
BEAM INC COM STK (DE)
BEAM
$11K ﹤0.01%
+128
New +$10.4K
CIT
527
DELISTED
CIT Group Inc.
CIT
$11K ﹤0.01%
+230
New +$11.2K
ASH icon
528
Ashland
ASH
$3.5B
$10K ﹤0.01%
198
– –
CAG icon
529
Conagra Brands
CAG
$7.23B
$10K ﹤0.01%
+418
New +$10K
CNQ icon
530
Canadian Natural Resources
CNQ
$93.8B
$10K ﹤0.01%
521
– –
DOX icon
531
Amdocs
DOX
$6.22B
$10K ﹤0.01%
+220
New +$9.62K
FLR icon
532
Fluor
FLR
$7.96B
$10K ﹤0.01%
135
– –
HRB icon
533
H&R Block
HRB
$5.86B
$10K ﹤0.01%
318
– –
PPLI
534
People Inc
PPLI
$3.1B
$10K ﹤0.01%
755
– –
PFG icon
535
Principal Financial Group
PFG
$24.3B
$10K ﹤0.01%
222
– –
SHM icon
536
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.47B
$10K ﹤0.01%
200
– –
SMMU icon
537
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund
SMMU
$1.17B
$10K ﹤0.01%
200
– –
TNL icon
538
Travel + Leisure Co
TNL
$4.7B
$10K ﹤0.01%
310
– –
WBD icon
539
Warner Bros
WBD
$67.1B
$10K ﹤0.01%
237
– –
VAR
540
DELISTED
Varian Medical Systems, Inc.
VAR
$10K ﹤0.01%
137
– –
QIHU
541
DELISTED
QIHOO 360 TECHNOLOGY CO LTD ADS RPSTG 3 CL A SHS
QIHU
$10K ﹤0.01%
100
– –
AL
542
DELISTED
Air Lease Corp
AL
$9K ﹤0.01%
+250
New +$8.48K
CME icon
543
CME Group
CME
$94.8B
$9K ﹤0.01%
122
+25
+26% +$1.89K
DOL icon
544
WisdomTree True Developed International Fund
DOL
$845M
$9K ﹤0.01%
170
– –
EG icon
545
Everest Group
EG
$14.4B
$9K ﹤0.01%
+58
New +$8.57K
EQIX icon
546
Equinix
EQIX
$103B
$9K ﹤0.01%
50
– –
FIS icon
547
Fidelity National Information Services
FIS
$22.1B
$9K ﹤0.01%
+175
New +$9.34K
HES
548
DELISTED
Hess
HES
$9K ﹤0.01%
+103
New +$8.19K
IWR icon
549
iShares Russell Mid-Cap ETF
IWR
$57.5B
$9K ﹤0.01%
240
– –
NFLX icon
550
Netflix
NFLX
$309B
$9K ﹤0.01%
1,750
– –
20 21
22
23 24

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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.