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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
EOI
876
Eaton Vance Enhanced Equity Income Fund
EOI
$826M
$0 ﹤0.01%
9
– –
ERC
877
Allspring Multi-Sector Income Fund
ERC
$259M
$0 ﹤0.01%
20
– –
ERIC icon
878
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
25
– –
EWBC icon
879
East-West Bancorp
EWBC
$18B
$0 ﹤0.01%
4
– –
EWW icon
880
iShares MSCI Mexico ETF
EWW
$1.99B
– –
-44
Closed -$2K
FCEL icon
881
FuelCell Energy
FCEL
$1.63B
– –
0
– –
FXI icon
882
iShares China Large-Cap ETF
FXI
$4.31B
– –
-450
Closed -$17K
GFI icon
883
Gold Fields
GFI
$36.5B
$0 ﹤0.01%
109
– –
GS.PRC icon
884
Goldman Sachs Group Inc Series C Preferred Stock
GS.PRC
$153M
– –
-1,400
Closed -$26K
GS.PRA icon
885
Goldman Sachs Group Inc Depositary Shares
GS.PRA
$575M
– –
-110,275
Closed -$1.99M
HLF icon
886
Herbalife
HLF
$1.29B
– –
-36
Closed -$1K
HRL icon
887
Hormel Foods
HRL
$13.8B
– –
-64,506
Closed -$1.46M
IEP icon
888
Icahn Enterprises
IEP
$5.3B
– –
-8
Closed –
IMNN icon
889
Imunon
IMNN
$6.77M
– –
0
– -$2K
IPGP icon
890
IPG Photonics
IPGP
$3.84B
– –
-21
Closed -$1K
IYZ icon
891
iShares US Telecommunications ETF
IYZ
$1.26B
– –
-132
Closed -$3K
J icon
892
Jacobs Solutions
J
$17B
$0 ﹤0.01%
2
– –
JPC icon
893
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$0 ﹤0.01%
+38
New +$346
JQC icon
894
Nuveen Credit Strategies Income Fund
JQC
$711M
– –
-490
Closed -$4K
MA icon
895
Mastercard
MA
$493B
– –
-70
Closed -$5K
MAR icon
896
Marriott International
MAR
$92.3B
– –
-200
Closed -$9K
MER.PRK
897
Bank of America Income Capital Obligation Notes due December 15 2066
MER.PRK
$1.06B
– –
-1,300
Closed -$32K
MLR icon
898
Miller Industries
MLR
$619M
$0 ﹤0.01%
20
– –
MS.PRA icon
899
Morgan Stanley Series A Preferred Stock
MS.PRA
$766M
– –
-67,700
Closed -$1.27M
MUR icon
900
Murphy Oil
MUR
$4.78B
$0 ﹤0.01%
2
– –
34 35
36
37 38

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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.