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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
POM
701
DELISTED
PEPCO HOLDINGS, INC.
POM
$4K ﹤0.01%
183
– –
AAL icon
702
American Airlines Group
AAL
$10.6B
$3K ﹤0.01%
+92
New +$3.13K
APD icon
703
Air Products & Chemicals
APD
$67.6B
$3K ﹤0.01%
29
– –
BLDP
704
Ballard Power Systems
BLDP
$790M
$3K ﹤0.01%
600
– –
BLKB icon
705
Blackbaud
BLKB
$2.08B
$3K ﹤0.01%
100
– –
BMRN icon
706
BioMarin Pharmaceuticals
BMRN
$12.4B
$3K ﹤0.01%
+45
New +$3.32K
BOND icon
707
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.47B
$3K ﹤0.01%
30
– –
CALM icon
708
Cal-Maine
CALM
$3.99B
$3K ﹤0.01%
80
– –
CAR icon
709
Avis
CAR
$5.02B
$3K ﹤0.01%
70
– –
CCJ icon
710
Cameco
CCJ
$42.4B
$3K ﹤0.01%
112
– –
CIK
711
Credit Suisse Asset Management Income Fund
CIK
$134M
$3K ﹤0.01%
+962
New +$3.47K
CMS icon
712
CMS Energy
CMS
$22.3B
$3K ﹤0.01%
+103
New +$2.85K
CUK
713
DELISTED
Carnival PLC
CUK
$3K ﹤0.01%
90
– –
EVV
714
Eaton Vance Limited Duration Income Fund
EVV
$1.07B
$3K ﹤0.01%
217
– –
FAST icon
715
Fastenal
FAST
$59.5B
$3K ﹤0.01%
+240
New +$2.81K
FE icon
716
FirstEnergy
FE
$27.5B
$3K ﹤0.01%
100
– –
GLO
717
Clough Global Opportunities Fund
GLO
$257M
$3K ﹤0.01%
270
– –
IBN icon
718
ICICI Bank
IBN
$108B
$3K ﹤0.01%
+396
New +$2.64K
ILF icon
719
iShares Latin America 40 ETF
ILF
$3.76B
$3K ﹤0.01%
+84
New +$2.87K
ODP
720
DELISTED
ODP
ODP
$3K ﹤0.01%
61
+60
+6,000% +$2.89K
PBPB
721
DELISTED
Potbelly
PBPB
$3K ﹤0.01%
150
– –
PII icon
722
Polaris
PII
$4.07B
$3K ﹤0.01%
+21
New +$2.83K
PLD icon
723
Prologis
PLD
$133B
$3K ﹤0.01%
67
– –
PNR icon
724
Pentair
PNR
$11B
$3K ﹤0.01%
52
– –
PSO icon
725
Pearson
PSO
$9.9B
$3K ﹤0.01%
190
– –
27 28
29
30 31

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TU
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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
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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.