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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
PEBK icon
101
Peoples Bancorp of North Carolina
PEBK
$229M
$388K 0.13%
27,350
-10,600
-28% -$148K
MORL
102
DELISTED
ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN
MORL
$377K 0.12%
17,300
+4,000
+30% +$83.1K
BNCN
103
DELISTED
BNC Bancorp
BNCN
$376K 0.12%
21,702
-4,264
-16% -$73.6K
RSP icon
104
Invesco S&P 500 Equal Weight ETF
RSP
$99.5B
$372K 0.12%
5,100
– –
SLB icon
105
SLB Ltd
SLB
$75B
$368K 0.12%
3,778
+308
+9% +$27.9K
SUP
106
DELISTED
Superior Industries International
SUP
$367K 0.12%
17,900
-5,400
-23% -$103K
BDCL
107
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$365K 0.12%
13,000
+5,200
+67% +$150K
MRK icon
108
Merck
MRK
$318B
$362K 0.12%
6,684
+405
+6% +$21K
SDY icon
109
State Street SPDR S&P Dividend ETF
SDY
$23.9B
$362K 0.12%
4,925
+326
+7% +$23.4K
V icon
110
Visa
V
$677B
$361K 0.12%
6,684
-2,076
-24% -$115K
KMI icon
111
Kinder Morgan
KMI
$68.7B
$353K 0.12%
10,858
+1,350
+14% +$45.2K
IWF icon
112
iShares Russell 1000 Growth ETF
IWF
$128B
$351K 0.12%
16,228
+3,040
+23% +$65.3K
CXP
113
DELISTED
COLUMBIA PROPERTY TRUST, INC.
CXP
$347K 0.11%
12,730
+11,200
+732% +$282K
KMP
114
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
$344K 0.11%
4,647
+174
+4% +$13.5K
D icon
115
Dominion Energy
D
$59.3B
$338K 0.11%
4,755
-719
-13% -$49.1K
LUMN icon
116
Lumen
LUMN
$6.44B
$331K 0.11%
10,081
-133
-1% -$4.07K
XLK icon
117
State Street Technology Select Sector SPDR ETF
XLK
$124B
$314K 0.1%
17,250
+440
+3% +$7.86K
JCI icon
118
Johnson Controls International
JCI
$92.2B
$313K 0.1%
6,319
+1,449
+30% +$73.4K
STT icon
119
State Street
STT
$50.7B
$313K 0.1%
4,500
– –
PX
120
DELISTED
Praxair Inc
PX
$311K 0.1%
2,371
+40
+2% +$5.18K
FITB
121
Fifth Third Bancorp
FITB
$51.8B
$306K 0.1%
13,327
-196
-1% -$4.27K
PGHY icon
122
Invesco Global ex-US High Yield Corporate Bond ETF
PGHY
$227M
$299K 0.1%
12,000
-900
-7% -$22.4K
STI
123
DELISTED
SunTrust Banks, Inc.
STI
$299K 0.1%
7,505
+52
+0.7% +$1.99K
EMR icon
124
Emerson Electric
EMR
$88.3B
$298K 0.1%
4,463
+112
+3% +$7.37K
AXP icon
125
American Express
AXP
$230B
$295K 0.1%
3,281
+535
+19% +$47.8K
3 4
5
6 7

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TU
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NFG
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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 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.