CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
1-Year Return 20.52%
This Quarter Return
+1.83%
1 Year Return
+20.52%
3 Year Return
+79.93%
5 Year Return
+101.13%
10 Year Return
–
AUM
$305M
AUM Growth
+$23.5M
Cap. Flow
-$8.14M
Cap. Flow %
-2.67%
Top 10 Hldgs %
40.12%
Holding
1,104
New
165
Increased
242
Reduced
76
Closed
181

Top Buys

1
VIG icon
Vanguard Dividend Appreciation ETF
VIG
$3.83M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
$3.38M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
$2.44M
4
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
$2.05M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
$1.99M

Top Sells

1
KMR
KINDER MORGAN MANAGEMENT LLC
KMR
$26.8M
2
BAC.PRE icon
Bank of America Depository Shares Series E
BAC.PRE
$2.62M
3
GS.PRA icon
Goldman Sachs Group, Inc. (The) Depositary shares
GS.PRA
$1.99M
4
HRL icon
Hormel Foods
HRL
$1.46M
5
MS.PRA icon
Morgan Stanley Floating Rate non-cumulative Preferred Series A
MS.PRA
$1.27M

Sector Composition

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 Shares
Change % 		Capital Flow
PBCT
976
DELISTED
People's United Financial Inc
PBCT
$0 ﹤0.01%
14
– –
JTD
977
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
– –
-300
Closed -$4K
WFC.PRN
978
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
979
DELISTED
Duff & Phelps Utility & Corporate Bond Trust
DUC
– –
-667
Closed -$6K
CCMP
980
DELISTED
CMC Materials, Inc. Common Stock
CCMP
$0 ﹤0.01%
+10
New –
JCP
981
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
25
– –
RNR.PRC.CL
982
DELISTED
RenaissanceRe Holdings Ltd. 6.08% Series C Preference Shares Called for Redemption
RNR.PRC.CL
– –
-500
Closed -$10K
AVP
983
DELISTED
Avon Products, Inc.
AVP
– –
-1,717
Closed -$29K
GS.PRI.CL
984
DELISTED
The Goldman Sachs Group, Inc.
GS.PRI.CL
– –
-1,365
Closed -$29K
NEE.PRC.CL
985
DELISTED
Fpl Group Capital Trust I
NEE.PRC.CL
– –
-975
Closed -$23K
WBMD
986
DELISTED
WebMD Health Corp.
WBMD
$0 ﹤0.01%
3
– –
UTEK
987
DELISTED
Ultratech Inc.
UTEK
$0 ﹤0.01%
13
– –
ELNK
988
DELISTED
EarthLink Holdings Corp.
ELNK
$0 ﹤0.01%
100
– –
IQNT
989
DELISTED
Inteliquent, Inc.
IQNT
$0 ﹤0.01%
+30
New –
AA.PR
990
DELISTED
Alcoa Inc. $3.75 Preferred Stock
AA.PR
– –
-50
Closed -$3K
MWO.CL
991
DELISTED
MORGAN STANLEY CAPITAL TRUST V
MWO.CL
– –
-1,500
Closed -$33K
FMER
992
DELISTED
FIRSTMERIT CORP
FMER
$0 ﹤0.01%
24
– –
MER.PRM
993
DELISTED
MERRILL LYNCH CAP TRII GUARANTEED TRUST PFD SECS 6.450%
MER.PRM
– –
-100
Closed -$2K
BAC.PRZ
994
DELISTED
BAC CAPITAL TRUST VIII GTD.CAP. SECS
BAC.PRZ
– –
-2,200
Closed -$54K
HTS.PRA
995
DELISTED
HATTERAS FINANCIAL CORP CUM REDEEMABLE PFD SER A (MD)
HTS.PRA
– –
-19,120
Closed -$395K
RBS.PRE
996
DELISTED
RBS CAPITAL FUNDING TRUST V 5.9% CUMULATIVE GTD TR PFD SEC
RBS.PRE
– –
-1,000
Closed -$20K
MER.PRD
997
DELISTED
MERRILL PF CP TST III 7%
MER.PRD
– –
-600
Closed -$15K
MER.PRE
998
DELISTED
MERRILL PFD TST IV
MER.PRE
– –
-560
Closed -$14K
IDG.CL
999
DELISTED
ING GROEP NV PRED CTF 7.3750% PERP HYBRIDD CAP SEC
IDG.CL
– –
-5,300
Closed -$134K
AOL
1000
DELISTED
AOL INC COMMON STOCK
AOL
$0 ﹤0.01%
4
– –
37 38 39
40
41