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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
VOO icon
926
Vanguard S&P 500 ETF
VOO
$1.01T
– –
-1,530
Closed -$258K
WPC icon
927
W.P. Carey
WPC
$16.4B
– –
-441
Closed -$26K
GAP
928
The Gap Inc
GAP
$7.37B
– –
-77
Closed -$3K
TPC
929
Tutor Perini Cor
TPC
$5.21B
$0 ﹤0.01%
5
– –
AVTA
930
DELISTED
Avantax, Inc. Common Stock
AVTA
$0 ﹤0.01%
10
– –
MMP
931
DELISTED
Magellan Midstream Partners, L.P.
MMP
– –
-25
Closed -$1K
TA
932
DELISTED
TravelCenters of America LLC
TA
$0 ﹤0.01%
4
– –
TSC
933
DELISTED
TriState Capital Holdings, Inc.
TSC
– –
-1,000
Closed -$11K
PBCT
934
DELISTED
People's United Financial Inc
PBCT
$0 ﹤0.01%
14
– –
JTD
935
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
– –
-300
Closed -$4K
WFC.PRN
936
DELISTED
WELLS FARGO & COMPANY Depositary Shares, representing a 1/1,000th interest in a share of Non-Cumulat
WFC.PRN
– –
-1,920
Closed -$38K
DUC
937
DELISTED
Duff & Phelps Utility & Corporate Bond Trust
DUC
– –
-667
Closed -$6K
CCMP
938
DELISTED
CMC Materials, Inc. Common Stock
CCMP
$0 ﹤0.01%
+10
New +$437
JCP
939
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
25
– –
RNR.PRC.CL
940
DELISTED
RenaissanceRe Holdings Ltd. 6.08% Series C Preference Shares Called for Redemption
RNR.PRC.CL
– –
-500
Closed -$10K
AVP
941
DELISTED
Avon Products, Inc.
AVP
– –
-1,717
Closed -$29K
ASNA
942
DELISTED
Ascena Retail Group, Inc.
ASNA
– –
0
– –
FCRE
943
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
– –
0
– –
MER.PRP.CL
944
DELISTED
Merrill Lynch Capital Trust Iii
MER.PRP.CL
– –
-300
Closed -$7K
CFC.PRB.CL
945
DELISTED
Countrywide Capital V
CFC.PRB.CL
– –
-600
Closed -$15K
GS.PRI.CL
946
DELISTED
The Goldman Sachs Group, Inc.
GS.PRI.CL
– –
-1,365
Closed -$29K
NEE.PRC.CL
947
DELISTED
Fpl Group Capital Trust I
NEE.PRC.CL
– –
-975
Closed -$23K
WBMD
948
DELISTED
WebMD Health Corp.
WBMD
$0 ﹤0.01%
3
– –
UTEK
949
DELISTED
Ultratech Inc.
UTEK
$0 ﹤0.01%
13
– –
ELNK
950
DELISTED
EarthLink Holdings Corp.
ELNK
$0 ﹤0.01%
100
– –
36 37
38
39 40

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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.