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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
WBMD
951
DELISTED
WebMD Health Corp.
WBMD
– –
-3
Closed –
UTEK
952
DELISTED
Ultratech Inc.
UTEK
– –
-13
Closed –
YDKN
953
DELISTED
Yadkin Financial Corporation
YDKN
– –
-374
Closed -$7K
GGP
954
DELISTED
GGP Inc.
GGP
– –
-517
Closed -$13K
MEG
955
DELISTED
Media General, Inc
MEG
– –
-282
Closed -$4K
BSCG
956
DELISTED
Guggenheim BulletShares 2016 Corporate Bond ETF
BSCG
– –
-4,000
Closed -$88K
COB
957
DELISTED
CommunityOne Bancorp
COB
$0 ﹤0.01%
7
-100
-93% -$1.02K
STR
958
DELISTED
QUESTAR CORP
STR
– –
-4,500
Closed -$109K
FMER
959
DELISTED
FIRSTMERIT CORP
FMER
$0 ﹤0.01%
24
– –
RSE
960
DELISTED
ROUSE PPTYS INC COM (DE)
RSE
– –
-19
Closed –
GM.WS.A
961
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
$0 ﹤0.01%
14
-13
-48% -$288
TE
962
DELISTED
TECO ENERGY INC
TE
– –
-1,065
Closed -$20K
SSE
963
DELISTED
SEVENTY SEVEN ENERGY INC COM
SSE
$0 ﹤0.01%
14
– –
BTU
964
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
– –
-20
Closed -$3K
HMIN
965
DELISTED
HOMEINNS HOTEL GROUP SPONSORED ADR
HMIN
– –
-200
Closed -$6K
HNT
966
DELISTED
HEALTH NET INC
HNT
– –
-165
Closed -$7K
PRE
967
DELISTED
PARTNERRE LTD
PRE
– –
-144
Closed -$16K
NGLS
968
DELISTED
TARGA RESOURCES PARTNERS LP COM UTS REPTG LTD PARTERSHIP INT
NGLS
– –
-350
Closed -$19K
RCAP
969
DELISTED
RCS CAPITAL CORPORATION CLASS A COM
RCAP
– –
-60,000
Closed -$670K
CSG
970
DELISTED
CHAMBERS STR PPTYS COM
CSG
– –
-338,521
Closed -$2.71M
PGN
971
DELISTED
PARAGON OFFSHORE PLC (GBR)
PGN
$0 ﹤0.01%
83
-33
-28% -$145
AOL
972
DELISTED
AOL INC COMMON STOCK
AOL
– –
-4
Closed –
LO
973
DELISTED
LORILLARD INC COM STK
LO
– –
-700
Closed -$43K
XLS
974
DELISTED
EXELIS INC COM STK
XLS
– –
-200
Closed -$3K
PETM
975
DELISTED
PETSMART INC
PETM
– –
-200
Closed -$14K
37 38
39
40 41

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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.