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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
PKB icon
301
Invesco Building & Construction ETF
PKB
$453M
$52K 0.02%
2,425
– –
SMB icon
302
VanEck Short Muni ETF
SMB
$312M
$52K 0.02%
3,000
– –
WBA
303
DELISTED
Walgreens Boots Alliance
WBA
$52K 0.02%
785
– –
EW icon
304
Edwards Lifesciences
EW
$51.7B
$51K 0.02%
2,454
– –
WU icon
305
Western Union
WU
$2.21B
$51K 0.02%
2,800
– –
BIDU icon
306
Baidu
BIDU
$37.2B
$50K 0.02%
200
– –
FLOT icon
307
iShares Floating Rate Bond ETF
FLOT
$10.3B
$50K 0.02%
+1,000
New +$50.8K
FULT icon
308
Fulton Financial
FULT
$4.64B
$50K 0.02%
+4,166
New +$48.4K
AMZN icon
309
Amazon
AMZN
$2.96T
$49K 0.02%
3,200
+940
+42% +$15.6K
CMS icon
310
CMS Energy
CMS
$22.3B
$49K 0.02%
+1,500
New +$44.8K
PL
311
DELISTED
PROTECTIVE LIFE CORP
PL
$49K 0.02%
704
– –
DBA icon
312
Invesco DB Agriculture Fund
DBA
$1.23B
$48K 0.01%
1,900
– –
MPC icon
313
Marathon Petroleum
MPC
$83.7B
$48K 0.01%
1,024
+400
+64% +$17K
VXF icon
314
Vanguard Extended Market ETF
VXF
$31.7B
$48K 0.01%
552
-4,437
-89% -$382K
BSJH
315
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
$48K 0.01%
1,800
– –
CCI icon
316
Crown Castle
CCI
$32.2B
$46K 0.01%
580
– –
ITW icon
317
Illinois Tool Works
ITW
$84.5B
$46K 0.01%
495
-125
-20% -$10.8K
R icon
318
Ryder
R
$10.1B
$46K 0.01%
500
– –
DGRE icon
319
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
$146M
$45K 0.01%
+1,820
New +$49.3K
VMC icon
320
Vulcan Materials
VMC
$36.9B
$45K 0.01%
700
-600
-46% -$37.8K
UPL
321
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$45K 0.01%
1,900
– –
CSC
322
DELISTED
Computer Sciences
CSC
$45K 0.01%
+1,780
New +$45.8K
ADBE icon
323
Adobe
ADBE
$105B
$44K 0.01%
622
– –
PARA
324
DELISTED
Paramount Global Class B
PARA
$44K 0.01%
868
-165
-16% -$9.72K
REGN icon
325
Regeneron Pharmaceuticals
REGN
$80.8B
$44K 0.01%
112
– –
11 12
13
14 15

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NFG
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6M
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RFA
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CCT
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C
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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.