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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
+0.1%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$324M
AUM Growth
-$33.2M
Cap. Flow
-$39.8M
Cap. Flow %
-12.28%
Top 10 Hldgs %
40.98%
Holding
1,053
New
82
Increased
100
Reduced
249
Closed
124

Top Buys

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.19M
2
RCAP
RCS CAPITAL CORPORATION CLASS A COM
RCAP
+$1.32M
3
BBRC
Columbia Beyond BRICs ETF
BBRC
+$1.21M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$617K
5
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$474K

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.83M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.43M
3
IOO icon
iShares Global 100 ETF
IOO
+$3.86M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.88M
5
FEZ icon
State Street SPDR EURO STOXX 50 ETF
FEZ
+$2.34M

Sector Composition

Rank Sector Weight
1 Financials 12.76%
2 Technology 10.02%
3 Energy 8.24%
4 Healthcare 6.21%
5 Industrials 4.9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MDT icon
226
Medtronic
MDT
$112B
$94K 0.03%
1,372
-210
-13% -$13.4K
MUB icon
227
iShares National Muni Bond ETF
MUB
$45.5B
$94K 0.03%
859
-70
-8% -$7.63K
ROOF
228
DELISTED
NYLI CBRE NextGen Real Estate ETF
ROOF
$93K 0.03%
3,400
-2,700
-44% -$71K
FDUS icon
229
Fidus Investment
FDUS
$772M
$92K 0.03%
5,460
-1,250
-19% -$23K
HAL icon
230
Halliburton
HAL
$26.6B
$92K 0.03%
1,717
-80
-4% -$5.49K
OAK
231
DELISTED
OAKTREE CAPITAL GROUP, LLC
OAK
$92K 0.03%
2,000
-400
-17% -$20K
UL icon
232
Unilever
UL
$136B
$91K 0.03%
1,995
-288
-13% -$14.2K
RTN
233
DELISTED
Raytheon Company
RTN
$91K 0.03%
885
– –
ADM icon
234
Archer Daniels Midland
ADM
$36.9B
$89K 0.03%
1,753
-1,525
-47% -$74.8K
VTRS icon
235
Viatris
VTRS
$18.9B
$89K 0.03%
1,679
+1,100
+190% +$53.5K
BSCG
236
DELISTED
Guggenheim BulletShares 2016 Corporate Bond ETF
BSCG
$88K 0.03%
+4,000
New +$89.4K
IVE icon
237
iShares S&P 500 Value ETF
IVE
$49.8B
$87K 0.03%
938
-400
-30% -$36.4K
KKR icon
238
KKR & Co
KKR
$92.3B
$87K 0.03%
4,000
– –
BKLN icon
239
Invesco Senior Loan ETF
BKLN
$6.81B
$86K 0.03%
3,564
+2,980
+510% +$73.4K
TJX icon
240
TJX Companies
TJX
$178B
$86K 0.03%
2,740
– –
VDC icon
241
Vanguard Consumer Staples ETF
VDC
$7.99B
$86K 0.03%
699
– –
SU icon
242
Suncor Energy
SU
$70.3B
$84K 0.03%
2,425
– –
YUM icon
243
Yum! Brands
YUM
$41.1B
$83K 0.03%
1,580
-1,870
-54% -$99.5K
COR icon
244
Cencora
COR
$61.2B
$79K 0.02%
906
– –
DEM icon
245
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.98B
$79K 0.02%
1,730
-157
-8% -$8.18K
EBAY icon
246
eBay
EBAY
$49.8B
$79K 0.02%
3,486
-159
-4% -$3.54K
MDLZ icon
247
Mondelez International
MDLZ
$79.9B
$79K 0.02%
2,092
-2,935
-58% -$107K
TMO icon
248
Thermo Fisher Scientific
TMO
$220B
$79K 0.02%
670
– –
APA icon
249
APA Corp
APA
$13.2B
$77K 0.02%
1,031
-127
-11% -$12.6K
DBEU icon
250
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
$786M
$77K 0.02%
+2,875
New +$78K
8 9
10
11 12

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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
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RM
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Carroll Financial Associates's Q3 2014 Portfolio in Review

As of Q3 2014, Carroll Financial Associates held 1,053 positions worth $324M, down 9.3% from $357M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Carroll Financial Associates withdrew a net $39.8M in Q3 2014, closing 124 positions and reducing 249 holdings. Its most notable exit was Atlantic Union Bankshares, an estimated $872K position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 12% a quarter earlier, followed by Technology and Energy.

Against the trend, Carroll Financial Associates opened a new position in Invesco S&P 500 Downside Hedged ETF worth $7.45M.

  • Carroll Financial Associates's largest Q3 2014 buy was Invesco S&P 500 Downside Hedged ETF: 251,160 shares worth $7.45M.
  • Carroll Financial Associates added most to Columbia Beyond BRICs ETF in Q3 2014, an estimated $1.21M increase.
  • Carroll Financial Associates's biggest Q3 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.83M.
  • Carroll Financial Associates fully exited Atlantic Union Bankshares in Q3 2014, selling an estimated $872K.
  • Carroll Financial Associates's ten largest holdings make up 41% of its $324M portfolio in Q3 2014.
  • Carroll Financial Associates opened 82 new positions and closed 124 in Q3 2014.
  • Carroll Financial Associates's portfolio value fell 9.3% quarter-over-quarter to $324M.

Based on Carroll Financial Associates's 13F filing for Q3 2014, filed 13 Nov 2014.