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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
C icon
176
Citigroup
C
$226B
$146K 0.05%
3,077
+533
+21% +$26.5K
RDS.A
177
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$146K 0.05%
2,134
– –
NSC icon
178
Norfolk Southern
NSC
$75.1B
$143K 0.05%
1,470
+145
+11% +$13.4K
AMX icon
179
America Movil
AMX
$71.2B
$140K 0.05%
7,022
– –
ED icon
180
Consolidated Edison
ED
$39.9B
$140K 0.05%
2,613
+25
+1% +$1.35K
ADM icon
181
Archer Daniels Midland
ADM
$36.9B
$138K 0.05%
3,178
-145
-4% -$5.98K
EXC icon
182
Exelon
EXC
$47B
$138K 0.05%
5,748
+140
+2% +$2.95K
PAA icon
183
Plains All American Pipeline
PAA
$16.1B
$135K 0.04%
+2,446
New +$128K
TGT icon
184
Target
TGT
$68B
$135K 0.04%
2,235
– –
EPS icon
185
WisdomTree US LargeCap Fund
EPS
$1.65B
$131K 0.04%
6,000
– –
GSK icon
186
GSK
GSK
$106B
$131K 0.04%
1,958
+206
+12% +$13.9K
OGE icon
187
OGE Energy
OGE
$9.71B
$131K 0.04%
3,566
-200
-5% -$6.99K
FDUS icon
188
Fidus Investment
FDUS
$772M
$130K 0.04%
6,710
+1,250
+23% +$25.7K
CAT icon
189
Caterpillar
CAT
$387B
$128K 0.04%
1,291
-101
-7% -$9.53K
LH icon
190
Labcorp
LH
$25.9B
$128K 0.04%
1,513
– –
NKSH icon
191
National Bankshares
NKSH
$268M
$128K 0.04%
3,500
– –
DEO icon
192
Diageo
DEO
$53.6B
$127K 0.04%
1,017
+17
+2% +$2.12K
SCHW
193
Charles Schwab
SCHW
$187B
$126K 0.04%
4,600
+100
+2% +$2.61K
RF icon
194
Regions Financial
RF
$26.8B
$125K 0.04%
11,253
+492
+5% +$5.18K
HSY icon
195
Hershey
HSY
$36.6B
$124K 0.04%
1,190
-102
-8% -$10.4K
EMC
196
DELISTED
EMC CORPORATION
EMC
$124K 0.04%
4,521
-386
-8% -$10K
NEE icon
197
NextEra Energy
NEE
$177B
$123K 0.04%
5,136
+336
+7% +$7.61K
QEP
198
DELISTED
QEP RESOURCES, INC.
QEP
$118K 0.04%
4,000
-2,000
-33% -$60.1K
COST icon
199
Costco
COST
$420B
$116K 0.04%
1,038
+82
+9% +$9.38K
CMCSA icon
200
Comcast
CMCSA
$90B
$114K 0.04%
4,554
-604
-12% -$15.7K
6 7
8
9 10

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TU
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NFG
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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
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
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.