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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
NRK icon
551
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$912M
$9K ﹤0.01%
703
– –
TROW icon
552
T. Rowe Price
TROW
$24.3B
$9K ﹤0.01%
109
– –
VFH icon
553
Vanguard Financials ETF
VFH
$13.6B
$9K ﹤0.01%
+194
New +$8.61K
XLI icon
554
State Street Industrial Select Sector SPDR ETF
XLI
$33.7B
$9K ﹤0.01%
+170
New +$8.73K
DISCK
555
DELISTED
Discovery, Inc. Series C Common Stock
DISCK
$9K ﹤0.01%
242
– –
ISCA
556
DELISTED
International Speedway Corp
ISCA
$9K ﹤0.01%
260
– –
SNI
557
DELISTED
Scripps Networks Interactive, Inc Common Class A
SNI
$9K ﹤0.01%
125
– –
CHL
558
DELISTED
China Mobile Limited
CHL
$9K ﹤0.01%
196
– –
KKD
559
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
$9K ﹤0.01%
514
-50
-9% -$926
AAXJ icon
560
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.77B
$8K ﹤0.01%
135
– –
ATO icon
561
Atmos Energy
ATO
$28.8B
$8K ﹤0.01%
174
– –
CLH icon
562
Clean Harbors
CLH
$16.3B
$8K ﹤0.01%
+150
New +$8.17K
CMP icon
563
Compass Minerals
CMP
$1.15B
$8K ﹤0.01%
100
– –
EOG icon
564
EOG Resources
EOG
$70.7B
$8K ﹤0.01%
84
+60
+250% +$5.34K
ETR icon
565
Entergy
ETR
$50B
$8K ﹤0.01%
228
+28
+14% +$885
FCF icon
566
First Commonwealth Financial
FCF
$2.17B
$8K ﹤0.01%
+875
New +$7.46K
HAS icon
567
Hasbro
HAS
$13.2B
$8K ﹤0.01%
+150
New +$7.99K
LBTYA icon
568
Liberty Global Class A
LBTYA
$3.6B
$8K ﹤0.01%
247
-248
-50% -$8.72K
LQD icon
569
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$33B
$8K ﹤0.01%
+65
New +$7.54K
MDY icon
570
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.3B
$8K ﹤0.01%
30
– –
PCAR icon
571
PACCAR
PCAR
$70.1B
$8K ﹤0.01%
168
+112
+200% +$4.61K
PKX icon
572
POSCO
PKX
$17.5B
$8K ﹤0.01%
114
– –
SJM icon
573
J.M. Smucker
SJM
$12.8B
$8K ﹤0.01%
82
-96
-54% -$9.33K
SYK icon
574
Stryker
SYK
$130B
$8K ﹤0.01%
100
– –
UPBD icon
575
Upbound Group
UPBD
$1.16B
$8K ﹤0.01%
300
-500
-63% -$13.5K
21 22
23
24 25

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NFG
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6M
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RFA
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CCT
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CC
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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.