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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
WT icon
126
WisdomTree
WT
$3.22B
$293K 0.1%
22,300
+20,200
+962% +$309K
UNP icon
127
Union Pacific
UNP
$174B
$290K 0.1%
3,096
+142
+5% +$12.6K
PRFZ icon
128
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.89B
$278K 0.09%
14,000
– –
CLX icon
129
Clorox
CLX
$12.7B
$267K 0.09%
3,033
+1,287
+74% +$113K
NKE icon
130
Nike
NKE
$61.9B
$265K 0.09%
7,180
+108
+2% +$4.08K
SGOL icon
131
abrdn Physical Gold Shares ETF
SGOL
$7.41B
$258K 0.08%
20,500
+7,500
+58% +$95.3K
RJF icon
132
Raymond James Financial
RJF
$34B
$252K 0.08%
6,750
– –
NVS icon
133
Novartis
NVS
$297B
$251K 0.08%
3,297
+338
+11% +$24.6K
SNDK
134
DELISTED
SANDISK CORP
SNDK
$244K 0.08%
3,000
– –
MLPL
135
DELISTED
UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN
MLPL
$242K 0.08%
4,300
+1,100
+34% +$60K
GBDC icon
136
Golub Capital BDC
GBDC
$3.42B
$239K 0.08%
13,681
-2,553
-16% -$46.4K
GOOG icon
137
Alphabet (Google) Class C
GOOG
$4.32T
$239K 0.08%
8,592
+1,124
+15% +$32.7K
ETJ
138
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$575M
$237K 0.08%
21,000
– –
OKS
139
DELISTED
Oneok Partners LP
OKS
$236K 0.08%
4,400
– –
SIVR icon
140
abrdn Physical Silver Shares ETF
SIVR
$4.42B
$234K 0.08%
12,000
– –
QQQ icon
141
Invesco QQQ Trust
QQQ
$484B
$227K 0.07%
2,592
+110
+4% +$9.72K
DLTR icon
142
Dollar Tree
DLTR
$25.2B
$218K 0.07%
4,170
– –
IYW icon
143
iShares US Technology ETF
IYW
$25.2B
$218K 0.07%
9,576
– –
VWO icon
144
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$216K 0.07%
5,314
– –
ZBH icon
145
Zimmer Biomet
ZBH
$18.4B
$215K 0.07%
2,345
-1
-0% -$92
GILD icon
146
Gilead Sciences
GILD
$165B
$211K 0.07%
2,976
+90
+3% +$7.06K
IBB icon
147
iShares Biotechnology ETF
IBB
$9.77B
$206K 0.07%
2,619
+576
+28% +$48K
PPG icon
148
PPG Industries
PPG
$26.6B
$198K 0.06%
2,046
– –
APC
149
DELISTED
Anadarko Petroleum
APC
$197K 0.06%
2,325
+400
+21% +$32.8K
VCR icon
150
Vanguard Consumer Discretionary ETF
VCR
$6.33B
$196K 0.06%
1,848
– –
4 5
6
7 8

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TU
TDAM USA Toronto, Ontario, Canada $1.61B AUM 28.05% 1-Year Est. Return
NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
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.