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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
RSH
976
DELISTED
RADIOSHACK CORP
RSH
– –
-600
Closed –
PL
977
DELISTED
PROTECTIVE LIFE CORP
PL
– –
-704
Closed -$49K
SWY
978
DELISTED
SAFEWAY INC
SWY
– –
-160
Closed -$5K
ROC
979
DELISTED
ROCKWOOD HLDGS INC
ROC
– –
-500
Closed -$39K
RFMD
980
DELISTED
RF MICRO DEVICES INC
RFMD
– –
-100
Closed -$1K
EMDG
981
DELISTED
EGA EMERGING GLOBAL SHS TR EGSHARES EMERGING MKTS
EMDG
– –
-1,100
Closed -$21K
TIBX
982
DELISTED
TIBCO SOFTWARE INC
TIBX
– –
-40
Closed –
KMP
983
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
– –
-2,370
Closed -$223K
KMR
984
DELISTED
KINDER MORGAN MANAGEMENT LLC
KMR
– –
-1,293
Closed -$121K
BNA
985
DELISTED
BLACKROCK INCOME OPPORTUNITY TRUST INC
BNA
– –
-16
Closed –
AFFY
986
DELISTED
Affymax Inc
AFFY
$0 ﹤0.01%
+3,000
New –
CHYR
987
DELISTED
CHYRONHEGO CORP COM STK (NY)
CHYR
$0 ﹤0.01%
50
– –
SCMR
988
DELISTED
SYCAMORE NETWORKS INC NEW
SCMR
– –
-2
Closed –
ASCMA
989
DELISTED
Ascent Capital Group, Inc. Series A
ASCMA
– –
-10
Closed –
MDTH
990
DELISTED
MEDCATH CORPORATION
MDTH
$0 ﹤0.01%
500
– –
HIT
991
DELISTED
HITACHI LTD ADR (10COM)NEW
HIT
– –
-50
Closed -$3K
PSTB
992
DELISTED
Park Sterling Corp.
PSTB
– –
-691,702
Closed -$5.22M
HYGS
993
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
4
– –
COV
994
DELISTED
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
– –
-7,666
Closed -$718K
HOT
995
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
– –
-154
Closed -$11K
CA
996
DELISTED
CA, Inc.
CA
– –
-7
Closed –
CEFL
997
DELISTED
ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN
CEFL
– –
-13,600
Closed -$351K
LPNT
998
DELISTED
LifePoint Health, Inc.
LPNT
– –
-1
Closed –
RENX
999
DELISTED
RELX N.V.
RENX
– –
-246
Closed -$3K
FCH
1000
DELISTED
Felcor Lodging Trust
FCH
– –
-21
Closed –
37 38 39
40
41

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6M
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RFA
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CCT
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RM
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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.