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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
-7.01%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$451M
AUM Growth
+$4.05M
Cap. Flow
+$19M
Cap. Flow %
4.21%
Top 10 Hldgs %
41.98%
Holding
1,252
New
121
Increased
384
Reduced
193
Closed
84

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.52M
2
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$2.56M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.18M
4
TREE icon
LendingTree
TREE
+$1.57M
5
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$1.53M

Top Sells

Rank Stock Value
1
BBRC
Columbia Beyond BRICs ETF
BBRC
+$5.39M
2
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$4.09M
3
OCSL icon
Oaktree Specialty Lending
OCSL
+$1.36M
4
DGRE icon
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
+$861K
5
BAX icon
Baxter International
BAX
+$815K

Sector Composition

Rank Sector Weight
1 Financials 11.5%
2 Technology 7.62%
3 Energy 5.42%
4 Healthcare 5.01%
5 Consumer Staples 4.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SUP
326
DELISTED
Superior Industries International
SUP
$74K 0.02%
3,900
-12,000
-75% -$220K
TMO icon
327
Thermo Fisher Scientific
TMO
$220B
$73K 0.02%
576
– –
NLY icon
328
Annaly Capital Management
NLY
$17.4B
$72K 0.02%
1,769
-375
-17% -$15K
TFCF
329
DELISTED
Twenty-First Century Fox, Inc. Class B
TFCF
$72K 0.02%
2,438
– –
AON icon
330
Aon
AON
$76B
$71K 0.02%
788
-20
-2% -$1.94K
DLN icon
331
WisdomTree US LargeCap Dividend Fund
DLN
$6.39B
$71K 0.02%
2,000
– –
IJR icon
332
iShares Core S&P Small-Cap ETF
IJR
$112B
$71K 0.02%
1,288
+782
+155% +$44.4K
ETP
333
DELISTED
Energy Transfer Partners L.p.
ETP
$71K 0.02%
1,575
+150
+11% +$7.27K
TAP icon
334
Molson Coors Class B
TAP
$8.09B
$70K 0.02%
805
– –
HAL icon
335
Halliburton
HAL
$26.6B
$69K 0.02%
1,810
+115
+7% +$4.52K
IWR icon
336
iShares Russell Mid-Cap ETF
IWR
$57.4B
$69K 0.02%
1,704
+788
+86% +$32.6K
CATO icon
337
Cato Corp
CATO
$66.1M
$68K 0.02%
1,842
– –
IFV icon
338
First Trust Dorsey Wright International Focus 5 ETF
IFV
$235M
$68K 0.02%
+3,770
New +$69.5K
IYH icon
339
iShares US Healthcare ETF
IYH
$3.54B
$68K 0.02%
2,375
+1,275
+116% +$39.7K
LMT icon
340
Lockheed Martin
LMT
$136B
$68K 0.02%
322
+35
+12% +$7.12K
VTRS icon
341
Viatris
VTRS
$18.9B
$68K 0.02%
1,679
– –
SJM icon
342
J.M. Smucker
SJM
$12.8B
$67K 0.01%
584
+100
+21% +$11.2K
DE icon
343
Deere & Co
DE
$168B
$66K 0.01%
864
-179
-17% -$15.7K
VKI icon
344
Invesco Advantage Municipal Income Trust II
VKI
$401M
$66K 0.01%
5,850
– –
AGZD icon
345
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
$135M
$65K 0.01%
+2,728
New +$66K
IVE icon
346
iShares S&P 500 Value ETF
IVE
$49.8B
$65K 0.01%
740
– –
WPC icon
347
W.P. Carey
WPC
$16.4B
$65K 0.01%
1,053
+101
+11% +$5.88K
ITM icon
348
VanEck Intermediate Muni ETF
ITM
$2.15B
$64K 0.01%
1,365
– –
SIAL
349
DELISTED
SIGMA - ALDRICH CORP
SIAL
$64K 0.01%
460
– –
SNDS
350
DELISTED
SUSTAINABLE NORTH AMERICAN OIL SANDS ETF
SNDS
$64K 0.01%
3,400
-350
-9% -$6.59K
12 13
14
15 16

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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 2015 Portfolio in Review

As of Q3 2015, Carroll Financial Associates held 1,252 positions worth $451M, up 0.91% from $447M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Carroll Financial Associates deployed $19M of net new capital in Q3 2015, opening 121 new positions and adding to 384 existing holdings. Its largest new stake was PacWest Bancorp: 21,542 shares worth $926K.

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

On the sell side, the largest reduction was Columbia Beyond BRICs ETF, an estimated $5.39M trimmed.

  • Carroll Financial Associates's largest Q3 2015 buy was PacWest Bancorp: 21,542 shares worth $926K.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q3 2015, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q3 2015 reduction was Columbia Beyond BRICs ETF, cutting an estimated $5.39M.
  • Carroll Financial Associates fully exited KRAFT FOODS GROUP INC COM STK (VA) in Q3 2015, selling an estimated $475K.
  • Carroll Financial Associates's ten largest holdings make up 42% of its $451M portfolio in Q3 2015.
  • Carroll Financial Associates opened 121 new positions and closed 84 in Q3 2015.
  • Carroll Financial Associates's portfolio value rose 0.91% quarter-over-quarter to $451M.

Based on Carroll Financial Associates's 13F filing for Q3 2015, filed 28 Oct 2015.