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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
VOX icon
326
Vanguard Communication Services ETF
VOX
$5.76B
$44K 0.01%
+500
New +$44K
LNCE
327
DELISTED
Snyders-Lance, Inc.
LNCE
$44K 0.01%
1,500
-391
-21% -$10.5K
LO
328
DELISTED
LORILLARD INC COM STK
LO
$43K 0.01%
700
– –
AZN icon
329
AstraZeneca
AZN
$250B
$42K 0.01%
573
-33
-5% -$2.42K
VHT icon
330
Vanguard Health Care ETF
VHT
$18.6B
$42K 0.01%
341
+205
+151% +$23.5K
GLD icon
331
SPDR Gold Trust
GLD
$141B
$41K 0.01%
366
-105
-22% -$12.9K
HBI
332
DELISTED
Hanesbrands
HBI
$41K 0.01%
1,540
– –
HDV
333
iShares Core High Dividend ETF
HDV
$14.9B
$41K 0.01%
2,650
+2,250
+563% +$33.9K
ITT icon
334
ITT
ITT
$19.1B
$41K 0.01%
950
– –
NEM icon
335
Newmont
NEM
$119B
$41K 0.01%
2,200
– –
PBP icon
336
Invesco S&P 500 BuyWrite ETF
PBP
$362M
$41K 0.01%
2,000
-5,000
-71% -$108K
PH icon
337
Parker-Hannifin
PH
$135B
$41K 0.01%
325
– –
RCI icon
338
Rogers Communications
RCI
$18.6B
$41K 0.01%
1,102
-70
-6% -$2.77K
WELL icon
339
Welltower
WELL
$171B
$41K 0.01%
585
+93
+19% +$6K
POT
340
DELISTED
Potash Corp Of Saskatchewan
POT
$41K 0.01%
1,252
-737
-37% -$26.1K
BP icon
341
BP
BP
$107B
$40K 0.01%
1,174
– –
EELV icon
342
Invesco S&P Emerging Markets Low Volatility ETF
EELV
$428M
$40K 0.01%
1,500
– –
ELV icon
343
Elevance Health
ELV
$85.5B
$40K 0.01%
319
– –
VO icon
344
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$40K 0.01%
1,336
– –
MHFI
345
DELISTED
MCGRAW-HILL FINANCIAL INC COM
MHFI
$40K 0.01%
456
– –
TTE icon
346
TotalEnergies
TTE
$190B
$39K 0.01%
427,596,144
– –
UNH icon
347
UnitedHealth
UNH
$370B
$39K 0.01%
410
+76
+23% +$6.42K
ROC
348
DELISTED
ROCKWOOD HLDGS INC
ROC
$39K 0.01%
500
– –
AGN
349
DELISTED
Allergan Inc
AGN
$39K 0.01%
203
-80
-28% -$13.3K
EQR icon
350
Equity Residential
EQR
$25.1B
$38K 0.01%
+556
New +$35.9K
12 13
14
15 16

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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.