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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
NUAN
826
DELISTED
Nuance Communications, Inc.
NUAN
$1K ﹤0.01%
55
– –
MGLN
827
DELISTED
Magellan Health Services, Inc.
MGLN
$1K ﹤0.01%
+10
New +$596
RDC
828
DELISTED
Rowan Companies Plc
RDC
$1K ﹤0.01%
35
– –
EDGW
829
DELISTED
Edgewater Technology Inc
EDGW
$1K ﹤0.01%
100
– –
PHH
830
DELISTED
PHH Corporation
PHH
$1K ﹤0.01%
32
– –
FINL
831
DELISTED
Finish Line
FINL
$1K ﹤0.01%
25
– –
GXP
832
DELISTED
Great Plains Energy Incorporated
GXP
$1K ﹤0.01%
34
– –
BWLD
833
DELISTED
Buffalo Wild Wings, Inc.
BWLD
$1K ﹤0.01%
10
– –
HSNI
834
DELISTED
HSN, Inc.
HSNI
$1K ﹤0.01%
14
– –
PMC
835
DELISTED
PharMerica Corporation
PMC
$1K ﹤0.01%
27
+14
+108% +$344
BRCD
836
DELISTED
Brocade Communications Systems, Inc. NEW
BRCD
$1K ﹤0.01%
125
– –
PNRA
837
DELISTED
Panera Bread Co
PNRA
$1K ﹤0.01%
8
– –
SWC
838
DELISTED
Stillwater Mining Co
SWC
$1K ﹤0.01%
100
– –
COB
839
DELISTED
CommunityOne Bancorp
COB
$1K ﹤0.01%
114
– –
FEIC
840
DELISTED
FEI COMPANY
FEIC
$1K ﹤0.01%
+14
New +$1.38K
SMT
841
DELISTED
SMART TECHNOLOGIES INC COM NEW
SMT
$1K ﹤0.01%
+20
New +$629
ACG
842
DELISTED
AllianceBernstein Income Fund Inc
ACG
$1K ﹤0.01%
108
– –
CYT
843
DELISTED
CYTEC INDS INC
CYT
$1K ﹤0.01%
24
– –
HCBK
844
DELISTED
HUDSON CITY BANCORP INC
HCBK
$1K ﹤0.01%
125
– –
HSP
845
DELISTED
HOSPIRA INC
HSP
$1K ﹤0.01%
20
– –
ANR
846
DELISTED
Alpha Natural Resources Inc
ANR
$1K ﹤0.01%
+300
New +$1.61K
MWV
847
DELISTED
MEADWESTVACO CORP
MWV
$1K ﹤0.01%
+29
New +$1.05K
RSH
848
DELISTED
RADIOSHACK CORP
RSH
$1K ﹤0.01%
600
– –
TIBX
849
DELISTED
TIBCO SOFTWARE INC
TIBX
$1K ﹤0.01%
40
– –
NCU
850
DELISTED
NUVEEN (CAL) PREM INCM MUNI FD
NCU
$1K ﹤0.01%
+50
New +$670
32 33
34
35 36

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TU
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NFG
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6M
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RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
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.