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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
BRG
1001
DELISTED
BG GROUP PLC ADS(RP 5 ORD SHS)
BRG
– –
-130
Closed -$2K
AKZOY
1002
DELISTED
Akzo Nobel NV
AKZOY
– –
-1,622
Closed -$41K
TKP
1003
DELISTED
TECHNIP ADS (EA REPTG ONE ORD SHS)
TKP
– –
-130
Closed -$3K
EDP
1004
DELISTED
EDP-ELECT DE PORTUGAL S A (REPTG 10 ORD)
EDP
– –
-90
Closed -$3K
GJA
1005
DELISTED
STRATS TR FOR BELLSOUTH 2003-1 STCRD REPCKD AST BKD TR SECS
GJA
– –
-400
Closed -$9K
OTV
1006
DELISTED
ONETRAVEL HOLDINGS, INC. (NEW)
OTV
– –
-301
Closed –
BBT.PRG
1007
DELISTED
BB&T Corporation Depositary Shares each representing 1/1,000th interest in a share of Series G Non-C
BBT.PRG
– –
-2,010
Closed -$37K
PAGG
1008
DELISTED
Invesco Global Agriculture ETF
PAGG
– –
-100
Closed -$2K
LPNT
1009
DELISTED
LifePoint Health, Inc.
LPNT
$0 ﹤0.01%
1
– –
FCH
1010
DELISTED
Felcor Lodging Trust
FCH
– –
-21
Closed –
TSTC
1011
DELISTED
TELESTONE TECHNOLOGIES CORP
TSTC
– –
-400
Closed –
NEWN
1012
DELISTED
NEW ENG SYS GRP COM STK (NV)
NEWN
– –
-30
Closed –
FNSR
1013
DELISTED
Finisar Corp
FNSR
$0 ﹤0.01%
2
– –
GCVRZ
1014
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$0 ﹤0.01%
42
– –
FRP
1015
DELISTED
FAIRPOINT COMMUNICATIONS INC.
FRP
– –
-29
Closed –
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.