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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
SPXX icon
201
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$344M
$113K 0.04%
8,000
– –
IWP icon
202
iShares Russell Mid-Cap Growth ETF
IWP
$20.7B
$112K 0.04%
2,610
– –
UL icon
203
Unilever
UL
$136B
$110K 0.04%
2,283
+1,853
+431% +$83.6K
NI icon
204
NiSource
NI
$20.4B
$108K 0.04%
7,750
-610
-7% -$8.25K
STR
205
DELISTED
QUESTAR CORP
STR
$107K 0.04%
4,500
– –
HON icon
206
Honeywell
HON
$78B
$106K 0.03%
1,266
+251
+25% +$20.8K
BMS
207
DELISTED
Bemis
BMS
$106K 0.03%
2,700
+700
+35% +$27.3K
ALL icon
208
Allstate
ALL
$67.5B
$104K 0.03%
1,834
– –
DATA
209
DELISTED
Tableau Software, Inc.
DATA
$103K 0.03%
1,354
– –
IWD icon
210
iShares Russell 1000 Value ETF
IWD
$83.7B
$102K 0.03%
1,052
– –
MUB icon
211
iShares National Muni Bond ETF
MUB
$45.5B
$99K 0.03%
929
– –
YUM icon
212
Yum! Brands
YUM
$41.1B
$99K 0.03%
1,829
-334
-15% -$17.6K
NCI
213
DELISTED
Navigant Consulting, Inc.
NCI
$99K 0.03%
5,300
– –
GMK
214
DELISTED
GRUMA SAB DE C V ADS(RP 4 B SHS
GMK
$99K 0.03%
3,000
– –
ETN icon
215
Eaton
ETN
$174B
$98K 0.03%
1,308
+146
+13% +$10.8K
HAL icon
216
Halliburton
HAL
$26.6B
$98K 0.03%
1,672
+183
+12% +$9.77K
LLY icon
217
Eli Lilly
LLY
$1.06T
$98K 0.03%
1,669
+69
+4% +$3.85K
ORLY icon
218
O'Reilly Automotive
ORLY
$76.3B
$97K 0.03%
9,795
– –
APA icon
219
APA Corp
APA
$13.2B
$96K 0.03%
1,156
+280
+32% +$23K
DE icon
220
Deere & Co
DE
$168B
$96K 0.03%
1,059
+21
+2% +$1.84K
FMC icon
221
FMC
FMC
$1.33B
$96K 0.03%
1,449
– –
L icon
222
Loews
L
$23.6B
$96K 0.03%
2,189
– –
SBUX icon
223
Starbucks
SBUX
$120B
$96K 0.03%
2,630
-322
-11% -$11.9K
TFCF
224
DELISTED
Twenty-First Century Fox, Inc. Class B
TFCF
$96K 0.03%
+3,100
New +$99.1K
XLE icon
225
State Street Energy Select Sector SPDR ETF
XLE
$37.7B
$95K 0.03%
2,126
+130
+7% +$5.61K
7 8
9
10 11

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NFG
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6M
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RFA
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CCT
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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.