CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
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
+$305M
Cap. Flow
-$7.86M
Cap. Flow %
-2.58%
Top 10 Hldgs %
40.12%
Holding
1,104
New
166
Increased
244
Reduced
75
Closed
182

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
CBST
1001
DELISTED
CUBIST PHARMACEUTICALS INC
CBST
– –
-60
Closed -$4K
XVG.CL
1002
DELISTED
LEHMAN ABS CORP 6.05% CORP BDK TR CERT SR 2003-7 CLA-1
XVG.CL
– –
-400
Closed -$10K
AZC
1003
DELISTED
AUGUSTA RESOURCE CORP
AZC
$0 ﹤0.01%
+100
New –
FIO
1004
DELISTED
FUSION-IO INC COM
FIO
$0 ﹤0.01%
30
– –
CBEY
1005
DELISTED
CBEYOND INC COM STK
CBEY
– –
-724
Closed -$4K
SWSH
1006
DELISTED
SWISHER HYGIENE INC COM STK NEW (DE)
SWSH
– –
-350
Closed -$1K
KFN
1007
DELISTED
KKR FINANCIAL HOLDINGS LLC COM
KFN
– –
-14,000
Closed -$170K
C.PRS
1008
DELISTED
CITIGROUP CAP IX 6.0% TR PFD
C.PRS
– –
-1,300
Closed -$32K
PHA.CL
1009
DELISTED
PULTEGROUP, INC 7.375% SENIOR NOTES DUE 6/01/2046
PHA.CL
– –
-4,000
Closed -$99K
AEV.CL
1010
DELISTED
AEGON NV PERPETUAL CAP SEC (NETHERLANDS)
AEV.CL
– –
-400
Closed -$9K
GOM.CL
1011
DELISTED
GMAC LLC 7.375% NTS DUE 12/16/2044
GOM.CL
– –
-250
Closed -$6K
AWC
1012
DELISTED
ALUMINA LTD ADS ( 4 ORD)
AWC
– –
-305
Closed -$1K
HTSI
1013
DELISTED
HARRIS TEETER SUPERMARKETS INC COM STK (NC)
HTSI
– –
-317
Closed -$15K
WNA.PR.CL
1014
DELISTED
WACHOVIA PFD FUNDING CORP PERP PFD SECS SERA
WNA.PR.CL
– –
-2,000
Closed -$49K
PNG
1015
DELISTED
PAA NATURAL GAS STORAGE, L.P. COM UNIT LTD PARTNERSHIP
PNG
– –
-509
Closed -$11K
CHYR
1016
DELISTED
CHYRONHEGO CORP COM STK (NY)
CHYR
$0 ﹤0.01%
50
– –
SCMR
1017
DELISTED
SYCAMORE NETWORKS INC NEW
SCMR
– –
-2
Closed –
37 38 39 40
41