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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
+3.54%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$157M
AUM Growth
-$168M
Cap. Flow
-$164M
Cap. Flow %
-104.61%
Top 10 Hldgs %
42.09%
Holding
1,019
New
91
Increased
74
Reduced
321
Closed
254

Top Buys

Rank Stock Value
1
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$1.6M
2
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$1.41M
3
IOO icon
iShares Global 100 ETF
IOO
+$439K
4
STLA icon
Stellantis
STLA
+$431K
5
XLE icon
State Street Energy Select Sector SPDR ETF
XLE
+$345K

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$17.6M
2
XOM icon
ExxonMobil
XOM
+$10.1M
3
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.12M
4
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$6.99M
5
MSFT icon
Microsoft
MSFT
+$6.81M

Sector Composition

Rank Sector Weight
1 Technology 9.35%
2 Financials 8.48%
3 Energy 6.48%
4 Healthcare 6.38%
5 Consumer Staples 5.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NVR icon
826
NVR
NVR
$17B
– –
-50
Closed -$62K
NWL icon
827
Newell Brands
NWL
$2.56B
– –
-5,000
Closed -$174K
NWSA icon
828
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
25
-37
-60% -$568
PBP icon
829
Invesco S&P 500 BuyWrite ETF
PBP
$362M
– –
-2,000
Closed -$41K
PBR icon
830
Petrobras
PBR
$116B
$0 ﹤0.01%
32
– –
PBR.A icon
831
Petrobras Class A
PBR.A
$103B
– –
-330
Closed -$3K
PCY icon
832
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.4B
– –
-32
Closed –
PFG icon
833
Principal Financial Group
PFG
$24.3B
– –
-222
Closed -$11K
PHD
834
DELISTED
Pioneer Floating Rate Fund
PHD
– –
-6
Closed –
PHM icon
835
Pultegroup
PHM
$25.3B
– –
-1,055
Closed -$22K
PHO icon
836
Invesco Water Resources ETF
PHO
$2.09B
– –
-1,150
Closed -$30K
PHYS icon
837
Sprott Physical Gold
PHYS
$15.7B
– –
-20,500
Closed -$197K
PID icon
838
Invesco International Dividend Achievers ETF
PID
$919M
– –
-2,000
Closed -$36K
PIPR icon
839
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
– –
PLUG icon
840
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
10
– –
PMF
841
DELISTED
PIMCO Municipal Income Fund
PMF
– –
-4,000
Closed -$57K
PML
842
PIMCO Municipal Income Fund II
PML
$493M
– –
-7
Closed –
PNW icon
843
Pinnacle West Capital
PNW
$12.2B
– –
-22
Closed -$1K
PPG icon
844
PPG Industries
PPG
$26.6B
– –
-2,046
Closed -$209K
PPT
845
Franklin Premier Income Trust
PPT
$328M
– –
-139
Closed –
PRTA icon
846
Prothena Corp
PRTA
$450M
– –
-1
Closed –
PSO icon
847
Pearson
PSO
$9.9B
– –
-190
Closed -$3K
PXH icon
848
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.96B
– –
-6,500
Closed -$128K
RCL icon
849
Royal Caribbean
RCL
$85.6B
– –
-224
Closed -$15K
RGT
850
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
32 33
34
35 36

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Carroll Financial Associates's Q4 2014 Portfolio in Review

As of Q4 2014, Carroll Financial Associates held 1,019 positions worth $157M, down 52% from $324M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Carroll Financial Associates withdrew a net $164M in Q4 2014, closing 254 positions and reducing 321 holdings. Its most notable exit was Park Sterling Corp., an estimated $5.22M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.3% of assets, down from 10% a quarter earlier, followed by Financials and Energy.

Against the trend, Carroll Financial Associates opened a new position in Stellantis worth $535K.

  • Carroll Financial Associates's largest Q4 2014 buy was Stellantis: 58,143 shares worth $535K.
  • Carroll Financial Associates added most to Vanguard Short-Term Corporate Bond ETF in Q4 2014, an estimated $1.6M increase.
  • Carroll Financial Associates's biggest Q4 2014 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $17.6M.
  • Carroll Financial Associates fully exited Park Sterling Corp. in Q4 2014, selling an estimated $5.22M.
  • Carroll Financial Associates's ten largest holdings make up 42% of its $157M portfolio in Q4 2014.
  • Carroll Financial Associates opened 91 new positions and closed 254 in Q4 2014.
  • Carroll Financial Associates's portfolio value fell 52% quarter-over-quarter to $157M.

Based on Carroll Financial Associates's 13F filing for Q4 2014, filed 9 Feb 2015.