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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
BGG
926
DELISTED
Briggs & Stratton Corp.
BGG
– –
-181
Closed -$3K
JCP
927
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
25
– –
KOL
928
DELISTED
VanEck Vectors Coal ETF
KOL
– –
-119
Closed -$19K
ADRA
929
DELISTED
Invesco BLDRS Asia 50 ADR Index Fund
ADRA
– –
-1,850
Closed -$54K
CART
930
DELISTED
Carolina Trust BancShares
CART
– –
-7,500
Closed -$38K
ZF
931
DELISTED
Virtus Total Return Fund Inc.
ZF
– –
-3,750
Closed -$56K
OAK
932
DELISTED
OAKTREE CAPITAL GROUP, LLC
OAK
– –
-2,000
Closed -$92K
UPL
933
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
– –
-1,900
Closed -$45K
GM.WS.B
934
DELISTED
General Motors Company
GM.WS.B
$0 ﹤0.01%
14
-13
-48% -$188
HZNP
935
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
– –
-700
Closed -$9K
BCS.PRD.CL
936
DELISTED
Barclays Bank Plc
BCS.PRD.CL
– –
-7,300
Closed -$190K
AET
937
DELISTED
Aetna Inc
AET
– –
-364
Closed -$30K
EDGW
938
DELISTED
Edgewater Technology Inc
EDGW
– –
-100
Closed –
PF
939
DELISTED
Pinnacle Foods, Inc.
PF
– –
-100
Closed -$3K
ILG
940
DELISTED
ILG, Inc Common Stock
ILG
– –
-104
Closed -$2K
FCRE
941
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
– –
0
– –
GXP
942
DELISTED
Great Plains Energy Incorporated
GXP
– –
-34
Closed –
ADRE
943
DELISTED
Invesco BLDRS Emerging Markets 50 ADR Index Fund
ADRE
– –
-600
Closed -$23K
CBI
944
DELISTED
Chicago Bridge & Iron Nv
CBI
– –
-2,057
Closed -$113K
SNI
945
DELISTED
Scripps Networks Interactive, Inc Common Class A
SNI
– –
-125
Closed -$9K
RGC
946
DELISTED
Regal Entertainment Group
RGC
– –
-365
Closed -$8K
ACTA
947
DELISTED
Actua Corp
ACTA
$0 ﹤0.01%
1
– –
TIME
948
DELISTED
Time Inc.
TIME
$0 ﹤0.01%
7
-29
-81% -$656
SYT
949
DELISTED
Syngenta Ag
SYT
– –
-67
Closed -$4K
HSNI
950
DELISTED
HSN, Inc.
HSNI
– –
-3
Closed –
36 37
38
39 40

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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.