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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
RAI
251
DELISTED
Reynolds American Inc
RAI
$77K 0.02%
2,374
-16
-0.7% -$466
TFCF
252
DELISTED
Twenty-First Century Fox, Inc. Class B
TFCF
$76K 0.02%
2,300
– –
TXN icon
253
Texas Instruments
TXN
$261B
$75K 0.02%
1,475
+275
+23% +$13.2K
BIIB icon
254
Biogen
BIIB
$30.7B
$74K 0.02%
231
– –
CAT icon
255
Caterpillar
CAT
$387B
$73K 0.02%
712
-579
-45% -$61.4K
MCK icon
256
McKesson
MCK
$101B
$73K 0.02%
362
+52
+17% +$10K
FHN icon
257
First Horizon
FHN
$12.1B
$72K 0.02%
5,646
– –
PTF icon
258
Invesco Dorsey Wright Technology Momentum ETF
PTF
$656M
$72K 0.02%
5,940
– –
PFF icon
259
iShares Preferred and Income Securities ETF
PFF
$13.3B
$71K 0.02%
1,800
– –
MNK
260
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$70K 0.02%
754
-87
-10% -$6.8K
VIAB
261
DELISTED
Viacom Inc. Class B
VIAB
$70K 0.02%
1,019
-40
-4% -$3.29K
CELG
262
DELISTED
Celgene Corp
CELG
$69K 0.02%
640
+376
+142% +$33.9K
SBUX icon
263
Starbucks
SBUX
$120B
$67K 0.02%
1,728
-2,280
-57% -$88.2K
SEP
264
DELISTED
Spectra Engy Parters Lp
SEP
$67K 0.02%
1,200
– –
GLW icon
265
Corning
GLW
$143B
$65K 0.02%
3,131
– –
BEN icon
266
Franklin Resources
BEN
$17.2B
$64K 0.02%
1,134
– –
XLV icon
267
State Street Health Care Select Sector SPDR ETF
XLV
$42.7B
$64K 0.02%
949
-70
-7% -$4.38K
ITM icon
268
VanEck Intermediate Muni ETF
ITM
$2.15B
$63K 0.02%
1,365
– –
NVR icon
269
NVR
NVR
$17B
$62K 0.02%
50
– –
UNM icon
270
Unum
UNM
$14.3B
$62K 0.02%
1,825
– –
BPL
271
DELISTED
Buckeye Partners, L.P.
BPL
$62K 0.02%
800
– –
SIAL
272
DELISTED
SIGMA - ALDRICH CORP
SIAL
$62K 0.02%
460
– –
AON icon
273
Aon
AON
$76B
$61K 0.02%
680
– –
EMN icon
274
Eastman Chemical
EMN
$8.42B
$61K 0.02%
730
– –
TAP icon
275
Molson Coors Class B
TAP
$8.09B
$61K 0.02%
805
– –
9 10
11
12 13

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TU
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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
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
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

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.