CARROLL FINANCIAL ASSOCIATES, INC. Information

4201 CONGRESS STREET, SUITE 210, CHARLOTTE, North Carolina, 28209, (704) 553-8006

Report Date: 09/30/2014

Position Statistics

Total Positions 1,044
New Positions 67
Increased Positions 168
Decreased Positions 372
Positions with Activity 540
Sold Out Positions 118
Total Mkt Value (in $ millions) 320

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 3.92%
Capital Goods 1.38%
Conglomerates 0.19%
Consumer Cyclical 0.55%
Consumer/Non-Cyclical 3.8%
Energy 6.93%
Financial 47.02%
Healthcare 6.03%
Services 7.46%
Technology 9.95%
Transportation 1.12%
Utilities 4.22%

1,044 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ISHARES TR USA MIN VOL ETF 35,284 -3,178 (8.26) 851,650
POWERSHARES ETF TRUST FTSE RAFI 1000 15,296 -4,515 (22.79) 168,924
EXXON MOBIL CORP COM 14,360 -1,363 (8.67) 157,996
ISHARES TR MSCI USAMOMFCT 12,626 670 5.60 180,865
MICROSOFT CORP COM 10,738 -1,106 (9.34) 227,602
APPLE INC COM 10,627 -1,412 (11.73) 94,058
BERKSHIRE HATHAWAY INC DEL CL B NEW 9,260 -1,123 (10.82) 62,098
JOHNSON & JOHNSON COM 8,725 -1,570 (15.25) 85,373
JPMORGAN CHASE & CO ALERIAN ML ETN 8,141 -553 (6.36) 180,544
POWERSHARES ACTIVE MNG ETF TR S&P500 DWNHDGE 6,940 6,940 New 251,160
GENERAL ELECTRIC CO COM 6,742 -371 (5.22) 275,393
POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 6,521 -34 (0.52) 164,596
DOW CHEM CO COM 6,268 -407 (6.1) 140,625
VANGUARD SPECIALIZED PORTFOLIO DIV APP ETF 5,707 -455 (7.38) 70,505
HATTERAS FINL CORP COM 5,629 13 .23 306,250
SPECTRA ENERGY CORP COM 5,465 -975 (15.14) 161,818
JPMORGAN CHASE & CO COM 5,166 -489 (8.66) 91,138
PARK STERLING CORP COM 4,731 -395 (7.71) 691,702
COCA COLA CO COM 3,929 121 3.18 90,726
LOWES COS INC COM 3,845 -359 (8.55) 55,152