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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
NBR icon
601
Nabors Industries
NBR
$1.21B
$7K ﹤0.01%
6
– –
OKE icon
602
Oneok
OKE
$54.5B
$7K ﹤0.01%
+124
New +$7.25K
PMM
603
Franklin Managed Municipal Income Trust
PMM
$273M
$7K ﹤0.01%
1,010
– –
RVT icon
604
Royce Value Trust
RVT
$2.3B
$7K ﹤0.01%
440
– –
TM icon
605
Toyota
TM
$225B
$7K ﹤0.01%
61
– –
VOD icon
606
Vodafone
VOD
$37.4B
$7K ﹤0.01%
182
-488
-73% -$18.8K
XLP icon
607
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.9B
$7K ﹤0.01%
+151
New +$6.34K
IMGN
608
DELISTED
Immunogen Inc
IMGN
$7K ﹤0.01%
+500
New +$7.88K
VMW
609
DELISTED
VMware, Inc
VMW
$7K ﹤0.01%
67
-9
-12% -$882
AMG icon
610
Affiliated Managers Group
AMG
$9.76B
$6K ﹤0.01%
+31
New +$6.09K
BBWI icon
611
Bath & Body Works
BBWI
$4.1B
$6K ﹤0.01%
+124
New +$5.6K
BLK icon
612
Blackrock
BLK
$176B
$6K ﹤0.01%
20
+10
+100% +$3.06K
CINF icon
613
Cincinnati Financial
CINF
$27.1B
$6K ﹤0.01%
131
-79
-38% -$3.81K
CNP icon
614
CenterPoint Energy
CNP
$26.8B
$6K ﹤0.01%
247
– –
DVN icon
615
Devon Energy
DVN
$47.3B
$6K ﹤0.01%
85
– –
ESGR
616
DELISTED
Enstar Group
ESGR
$6K ﹤0.01%
45
– –
GCO icon
617
Genesco
GCO
$422M
$6K ﹤0.01%
75
– –
GM icon
618
General Motors
GM
$76.8B
$6K ﹤0.01%
181
+80
+79% +$2.94K
B
619
Barrick Mining
B
$73.2B
$6K ﹤0.01%
356
– –
GRMN
620
Garmin
GRMN
$60B
$6K ﹤0.01%
100
– –
HDV
621
iShares Core High Dividend ETF
HDV
$14.9B
$6K ﹤0.01%
400
– –
IYE icon
622
iShares US Energy ETF
IYE
$1.71B
$6K ﹤0.01%
+122
New +$6K
LYG icon
623
Lloyds Banking Group
LYG
$91.3B
$6K ﹤0.01%
1,109
– –
NVO
624
Novo Nordisk
NVO
$209B
$6K ﹤0.01%
250
– –
SPDW icon
625
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$41.6B
$6K ﹤0.01%
200
– –
23 24
25
26 27

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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.