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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
GD icon
701
General Dynamics
GD
$105B
$5K ﹤0.01%
46
– –
HSBC icon
702
HSBC
HSBC
$352B
$5K ﹤0.01%
104
– –
IMO icon
703
Imperial Oil
IMO
$61.1B
$5K ﹤0.01%
90
– –
KSS icon
704
Kohl's
KSS
$2.09B
$5K ﹤0.01%
+90
New +$4.88K
MAT icon
705
Mattel
MAT
$4.21B
$5K ﹤0.01%
126
– –
NTAP icon
706
NetApp
NTAP
$37.6B
$5K ﹤0.01%
+125
New +$4.48K
PBI icon
707
Pitney Bowes
PBI
$2.46B
$5K ﹤0.01%
166
– –
PBR.A icon
708
Petrobras Class A
PBR.A
$106B
$5K ﹤0.01%
330
– –
SPH icon
709
Suburban Propane Partners
SPH
$1.18B
$5K ﹤0.01%
+116
New +$5.21K
SPR
710
DELISTED
Spirit AeroSystems
SPR
$5K ﹤0.01%
+150
New +$4.74K
VTR icon
711
Ventas
VTR
$47.3B
$5K ﹤0.01%
68
– –
WPM icon
712
Wheaton Precious Metals
WPM
$56.9B
$5K ﹤0.01%
183
– –
CERN
713
DELISTED
Cerner Corp
CERN
$5K ﹤0.01%
96
– –
WPX
714
DELISTED
WPX Energy, Inc.
WPX
$5K ﹤0.01%
200
– –
TRK
715
DELISTED
Speedway Motorsports, Inc.
TRK
$5K ﹤0.01%
265
– –
SYT
716
DELISTED
Syngenta Ag
SYT
$5K ﹤0.01%
67
– –
TAL
717
DELISTED
TAL INTERNATIONAL GROUP, INC.
TAL
$5K ﹤0.01%
115
– –
BTU
718
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$5K ﹤0.01%
20
– –
ALU
719
DELISTED
Alcatel-Lucent
ALU
$5K ﹤0.01%
1,398
+255
+22% +$983
CA
720
DELISTED
CA, Inc.
CA
$5K ﹤0.01%
180
– –
ACAS
721
DELISTED
American Capital Ltd
ACAS
$5K ﹤0.01%
333
– –
KNGT
722
DELISTED
KNIGHT TRANSPORTATION INC
KNGT
$5K ﹤0.01%
+200
New +$5K
AV
723
DELISTED
Aviva Plc
AV
$5K ﹤0.01%
300
– –
POM
724
DELISTED
PEPCO HOLDINGS, INC.
POM
$5K ﹤0.01%
183
– –
AAL icon
725
American Airlines Group
AAL
$10.6B
$4K ﹤0.01%
103
+11
+12% +$429
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 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.