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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
VOX icon
776
Vanguard Communication Services ETF
VOX
$5.76B
$2K ﹤0.01%
+19
New +$1.56K
VSS icon
777
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.9B
$2K ﹤0.01%
+20
New +$2.09K
XRX icon
778
Xerox
XRX
$425M
$2K ﹤0.01%
76
– –
ONIT
779
Onity Group
ONIT
$332M
$2K ﹤0.01%
+4
New +$2.6K
SRCL
780
DELISTED
Stericycle Inc
SRCL
$2K ﹤0.01%
+17
New +$1.97K
TUP
781
DELISTED
Tupperware Brands Corporation
TUP
$2K ﹤0.01%
+26
New +$2.14K
PDCE
782
DELISTED
PDC Energy, Inc.
PDCE
$2K ﹤0.01%
+30
New +$1.64K
ABB
783
DELISTED
ABB Ltd
ABB
$2K ﹤0.01%
87
– –
KSU
784
DELISTED
Kansas City Southern
KSU
$2K ﹤0.01%
+22
New +$2.27K
GM.WS.B
785
DELISTED
General Motors Company
GM.WS.B
$2K ﹤0.01%
120
+9
+8% +$174
HNR
786
DELISTED
Harvest Natural Resources
HNR
$2K ﹤0.01%
+125
New +$2.17K
CVC
787
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
$2K ﹤0.01%
110
– –
HNT
788
DELISTED
HEALTH NET INC
HNT
$2K ﹤0.01%
+65
New +$2.13K
KWK
789
DELISTED
QUICKSILVER RESOURCES INC
KWK
$2K ﹤0.01%
600
– –
RFMD
790
DELISTED
RF MICRO DEVICES INC
RFMD
$2K ﹤0.01%
200
+100
+100% +$615
KMR
791
DELISTED
KINDER MORGAN MANAGEMENT LLC
KMR
$2K ﹤0.01%
34
-456,373
-100% -$31.7M
LSI
792
DELISTED
LSI CORPORATION
LSI
$2K ﹤0.01%
200
-13
-6% -$144
DGI
793
DELISTED
DigitalGlobe Inc.
DGI
$2K ﹤0.01%
75
– –
LNKD
794
DELISTED
LinkedIn Corporation
LNKD
$2K ﹤0.01%
+11
New +$2.25K
ACLS icon
795
Axcelis
ACLS
$4.33B
$1K ﹤0.01%
86
– –
EMLC icon
796
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.84B
$1K ﹤0.01%
+30
New +$1.38K
FNF icon
797
Fidelity National Financial
FNF
$13.5B
$1K ﹤0.01%
+70
New +$1.26K
IART icon
798
Integra LifeSciences
IART
$1.34B
$1K ﹤0.01%
34
– –
KGC icon
799
Kinross Gold
KGC
$32.8B
$1K ﹤0.01%
327
– –
KIM icon
800
Kimco Realty
KIM
$16.4B
$1K ﹤0.01%
24
– –
30 31
32
33 34

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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.