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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
SAP icon
726
SAP
SAP
$238B
$3K ﹤0.01%
40
– –
SMFG icon
727
Sumitomo Mitsui Financial
SMFG
$164B
$3K ﹤0.01%
340
– –
SNV
728
DELISTED
Synovus
SNV
$3K ﹤0.01%
146
+143
+4,767% +$3.48K
SSYS icon
729
Stratasys
SSYS
$774M
$3K ﹤0.01%
+24
New +$2.87K
SXC icon
730
SunCoke Energy
SXC
$797M
$3K ﹤0.01%
141
-6
-4% -$132
WDAY icon
731
Workday
WDAY
$44.4B
$3K ﹤0.01%
+33
New +$3.14K
JBTM
732
JBT Marel
JBTM
$6.39B
$3K ﹤0.01%
92
– –
MRO
733
DELISTED
Marathon Oil Corporation
MRO
$3K ﹤0.01%
82
+24
+41% +$809
SPLK
734
DELISTED
Splunk Inc
SPLK
$3K ﹤0.01%
+45
New +$3.67K
Y
735
DELISTED
Alleghany Corp
Y
$3K ﹤0.01%
8
– –
TIF
736
DELISTED
Tiffany & Co.
TIF
$3K ﹤0.01%
+40
New +$3.55K
GNC
737
DELISTED
GNC Holdings, Inc.
GNC
$3K ﹤0.01%
+70
New +$3.46K
WBC
738
DELISTED
WABCO HOLDINGS INC.
WBC
$3K ﹤0.01%
33
– –
GWR
739
DELISTED
Genesee & Wyoming Inc.
GWR
$3K ﹤0.01%
30
-150
-83% -$14.2K
ILG
740
DELISTED
ILG, Inc Common Stock
ILG
$3K ﹤0.01%
115
– –
RGC
741
DELISTED
Regal Entertainment Group
RGC
$3K ﹤0.01%
+140
New +$2.69K
SBY
742
DELISTED
Silver Bay Realty Trust Corp.
SBY
$3K ﹤0.01%
195
– –
HAR
743
DELISTED
Harman International Industries
HAR
$3K ﹤0.01%
26
– –
GM.WS.A
744
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
$3K ﹤0.01%
120
+9
+8% +$245
UTIW
745
DELISTED
UTI WORLDWIDE INC
UTIW
$3K ﹤0.01%
300
– –
SI
746
DELISTED
SIEMENS AKTIENGESELLSCHAFT ADS
SI
$3K ﹤0.01%
25
– –
CEO
747
DELISTED
CNOOC Limited
CEO
$3K ﹤0.01%
20
– –
RENX
748
DELISTED
RELX N.V.
RENX
$3K ﹤0.01%
246
– –
NTT
749
DELISTED
Nippon Telegraph & Telephone
NTT
$3K ﹤0.01%
110
– –
AA icon
750
Alcoa
AA
$13.2B
$2K ﹤0.01%
60
– –
28 29
30
31 32

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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.