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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
PNY
51
DELISTED
PIEDMONT NATURAL GAS CO INC(NC
PNY
$1.23M 0.4%
34,865
-2,199
-6% -$73.7K
RTX icon
52
RTX Corp
RTX
$299B
$1.23M 0.4%
16,662
+2,334
+16% +$168K
PFM icon
53
Invesco Dividend Achievers ETF
PFM
$807M
$1.16M 0.38%
57,900
+11,050
+24% +$216K
BHI
54
DELISTED
Baker Hughes
BHI
$1.07M 0.35%
16,534
+1,500
+10% +$88.7K
T icon
55
AT&T
T
$163B
$1.06M 0.35%
40,085
-228
-0.6% -$5.72K
COP icon
56
ConocoPhillips
COP
$142B
$1.05M 0.35%
14,958
-421
-3% -$28.2K
OXY icon
57
Occidental Petroleum
OXY
$56.3B
$991K 0.33%
10,852
+270
+3% +$24.1K
RIO icon
58
Rio Tinto
RIO
$165B
$989K 0.32%
17,719
-150
-0.8% -$8.18K
SO icon
59
Southern Company
SO
$107B
$987K 0.32%
22,451
+2,201
+11% +$92.3K
FCX icon
60
Freeport-McMoran
FCX
$97.2B
$981K 0.32%
29,667
+823
+3% +$27.4K
RY icon
61
Royal Bank of Canada
RY
$293B
$961K 0.32%
14,567
-1,223
-8% -$79.1K
PKW icon
62
Invesco BuyBack Achievers ETF
PKW
$1.76B
$892K 0.29%
+20,500
New +$872K
BBRC
63
DELISTED
Columbia Beyond BRICs ETF
BBRC
$887K 0.29%
41,900
+30,500
+268% +$615K
SON icon
64
Sonoco
SON
$5.68B
$867K 0.28%
21,134
– –
PM icon
65
Philip Morris
PM
$295B
$843K 0.28%
10,292
+173
+2% +$14K
BAX icon
66
Baxter International
BAX
$14.2B
$818K 0.27%
20,457
+2,472
+14% +$92.4K
WMB icon
67
Williams Companies
WMB
$87.5B
$788K 0.26%
19,424
+674
+4% +$27.3K
BSJF
68
DELISTED
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
$765K 0.25%
28,320
+3,020
+12% +$81.3K
VUG icon
69
Vanguard Morningstar Growth ETF
VUG
$231B
$763K 0.25%
48,942
– –
MON
70
DELISTED
Monsanto Co
MON
$710K 0.23%
6,242
-62
-1% -$6.9K
IJH icon
71
iShares Core S&P Mid-Cap ETF
IJH
$127B
$691K 0.23%
25,130
+1,600
+7% +$43K
VTV icon
72
Vanguard Morningstar Value ETF
VTV
$191B
$691K 0.23%
8,850
– –
HD icon
73
Home Depot
HD
$352B
$652K 0.21%
8,238
-14
-0.2% -$1.11K
ARCC icon
74
Ares Capital
ARCC
$14.3B
$636K 0.21%
36,100
+14,200
+65% +$253K
EPD icon
75
Enterprise Products Partners
EPD
$82.6B
$627K 0.21%
18,080
+1,000
+6% +$33.1K
1 2
3
4 5

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NFG
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6M
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RFA
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CCT
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C
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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.