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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
+4.72%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$357M
AUM Growth
+$52.6M
Cap. Flow
+$37.9M
Cap. Flow %
10.59%
Top 10 Hldgs %
39.42%
Holding
1,010
New
87
Increased
263
Reduced
66
Closed
35

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.91M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.93M
3
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$1.58M
4
HRL icon
Hormel Foods
HRL
+$1.55M
5
DD icon
DuPont de Nemours
DD
+$1.55M

Top Sells

Rank Stock Value
1
BSJF
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
+$732K
2
WMB icon
Williams Companies
WMB
+$490K
3
PEBK icon
Peoples Bancorp of North Carolina
PEBK
+$388K
4
JNJ icon
Johnson & Johnson
JNJ
+$354K
5
RIO icon
Rio Tinto
RIO
+$148K

Sector Composition

Rank Sector Weight
1 Financials 12.14%
2 Technology 9.32%
3 Energy 9.11%
4 Healthcare 5.76%
5 Industrials 4.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HALO icon
601
Halozyme
HALO
$10.2B
$10K ﹤0.01%
1,000
– –
IGSB icon
602
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$10K ﹤0.01%
+190
New +$10K
MCO icon
603
Moody's
MCO
$81.9B
$10K ﹤0.01%
+109
New +$8.98K
SHM icon
604
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.47B
$10K ﹤0.01%
200
– –
SMMU icon
605
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund
SMMU
$1.15B
$10K ﹤0.01%
200
– –
VAR
606
DELISTED
Varian Medical Systems, Inc.
VAR
$10K ﹤0.01%
137
– –
SNI
607
DELISTED
Scripps Networks Interactive, Inc Common Class A
SNI
$10K ﹤0.01%
125
– –
CHL
608
DELISTED
China Mobile Limited
CHL
$10K ﹤0.01%
196
– –
A icon
609
Agilent Technologies
A
$39.9B
$9K ﹤0.01%
+212
New +$8.51K
ATO icon
610
Atmos Energy
ATO
$29.1B
$9K ﹤0.01%
174
– –
CME icon
611
CME Group
CME
$95B
$9K ﹤0.01%
122
– –
DOL icon
612
WisdomTree True Developed International Fund
DOL
$838M
$9K ﹤0.01%
170
– –
ETR icon
613
Entergy
ETR
$49.7B
$9K ﹤0.01%
228
– –
PPLI
614
People Inc
PPLI
$3.2B
$9K ﹤0.01%
755
– –
NBR icon
615
Nabors Industries
NBR
$1.23B
$9K ﹤0.01%
6
– –
NRK icon
616
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$901M
$9K ﹤0.01%
703
– –
SJM icon
617
J.M. Smucker
SJM
$12.7B
$9K ﹤0.01%
82
– –
STZ icon
618
Constellation Brands
STZ
$22.6B
$9K ﹤0.01%
+100
New +$8.25K
TROW icon
619
T. Rowe Price
TROW
$24.2B
$9K ﹤0.01%
109
– –
UPBD icon
620
Upbound Group
UPBD
$1.14B
$9K ﹤0.01%
300
– –
VFH icon
621
Vanguard Financials ETF
VFH
$13.7B
$9K ﹤0.01%
194
– –
XOP icon
622
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.52B
$9K ﹤0.01%
28
– –
TGP
623
DELISTED
Teekay LNG Partners L.P.
TGP
$9K ﹤0.01%
200
– –
ISCA
624
DELISTED
International Speedway Corp
ISCA
$9K ﹤0.01%
260
– –
TFCFA
625
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$9K ﹤0.01%
260
– –
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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RM
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Carroll Financial Associates's Q2 2014 Portfolio in Review

As of Q2 2014, Carroll Financial Associates held 1,010 positions worth $357M, up 17% from $305M the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Carroll Financial Associates deployed $37.9M of net new capital in Q2 2014, opening 87 new positions and adding to 263 existing holdings. Its largest new stake was UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN: 63,400 shares worth $1.58M.

By sector, the portfolio is most concentrated in Financials at 12% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF, an estimated $732K trimmed.

  • Carroll Financial Associates's largest Q2 2014 buy was UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN: 63,400 shares worth $1.58M.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q2 2014, an estimated $4.91M increase.
  • Carroll Financial Associates's biggest Q2 2014 reduction was GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF, cutting an estimated $732K.
  • Carroll Financial Associates fully exited Peoples Bancorp of North Carolina in Q2 2014, selling an estimated $388K.
  • Carroll Financial Associates's ten largest holdings make up 39% of its $357M portfolio in Q2 2014.
  • Carroll Financial Associates opened 87 new positions and closed 35 in Q2 2014.
  • Carroll Financial Associates's portfolio value rose 17% quarter-over-quarter to $357M.

Based on Carroll Financial Associates's 13F filing for Q2 2014, filed 8 Aug 2014.