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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
IQNT
951
DELISTED
Inteliquent, Inc.
IQNT
$0 ﹤0.01%
+30
New +$374
AA.PR
952
DELISTED
Alcoa Inc $3.75 Preferred Stock
AA.PR
– –
-50
Closed -$3K
MWO.CL
953
DELISTED
MORGAN STANLEY CAPITAL TRUST V
MWO.CL
– –
-1,500
Closed -$33K
FMER
954
DELISTED
FIRSTMERIT CORP
FMER
$0 ﹤0.01%
24
– –
MER.PRM
955
DELISTED
MERRILL LYNCH CAP TRII GUARANTEED TRUST PFD SECS 6.450%
MER.PRM
– –
-100
Closed -$2K
BAC.PRZ
956
DELISTED
BAC CAPITAL TRUST VIII GTD.CAP. SECS
BAC.PRZ
– –
-2,200
Closed -$54K
HTS.PRA
957
DELISTED
HATTERAS FINANCIAL CORP CUM REDEEMABLE PFD SER A (MD)
HTS.PRA
– –
-19,120
Closed -$395K
RSE
958
DELISTED
ROUSE PPTYS INC COM (DE)
RSE
$0 ﹤0.01%
19
– –
RBS.PRE
959
DELISTED
RBS CAPITAL FUNDING TRUST V 5.9% CUMULATIVE GTD TR PFD SEC
RBS.PRE
– –
-1,000
Closed -$20K
MER.PRD
960
DELISTED
MERRILL PF CP TST III 7%
MER.PRD
– –
-600
Closed -$15K
MER.PRE
961
DELISTED
MERRILL PFD TST IV
MER.PRE
– –
-560
Closed -$14K
IDG.CL
962
DELISTED
ING GROEP NV PRED CTF 7.3750% PERP HYBRIDD CAP SEC
IDG.CL
– –
-5,300
Closed -$134K
AOL
963
DELISTED
AOL INC COMMON STOCK
AOL
$0 ﹤0.01%
4
– –
CBST
964
DELISTED
CUBIST PHARMACEUTICALS INC
CBST
– –
-60
Closed -$4K
XVG.CL
965
DELISTED
LEHMAN ABS CORP 6.05% CORP BDK TR CERT SR 2003-7 CLA-1
XVG.CL
– –
-400
Closed -$10K
AZC
966
DELISTED
AUGUSTA RESOURCE CORP
AZC
$0 ﹤0.01%
+100
New +$241
FIO
967
DELISTED
FUSION-IO INC COM
FIO
$0 ﹤0.01%
30
– –
CBEY
968
DELISTED
CBEYOND INC COM STK
CBEY
– –
-724
Closed -$4K
SWSH
969
DELISTED
SWISHER HYGIENE INC COM STK NEW (DE)
SWSH
– –
-350
Closed -$1K
KFN
970
DELISTED
KKR FINANCIAL HOLDINGS LLC COM
KFN
– –
-14,000
Closed -$170K
C.PRS
971
DELISTED
CITIGROUP CAP IX 6.0% TR PFD
C.PRS
– –
-1,300
Closed -$32K
PHA.CL
972
DELISTED
PULTEGROUP, INC 7.375% SENIOR NOTES DUE 6/01/2046
PHA.CL
– –
-4,000
Closed -$99K
AEV.CL
973
DELISTED
Aegon NV Perpetual Cap Sec (Netherlands)
AEV.CL
– –
-400
Closed -$9K
GOM.CL
974
DELISTED
GMAC LLC 7.375% NTS DUE 12/16/2044
GOM.CL
– –
-250
Closed -$6K
AWC
975
DELISTED
Alumina Ltd
AWC
– –
-305
Closed -$1K
37 38
39
40 41

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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.