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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
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$538M
AUM Growth
+$58M
Cap. Flow
+$46.6M
Cap. Flow %
8.66%
Top 10 Hldgs %
44.15%
Holding
1,319
New
136
Increased
373
Reduced
192
Closed
80

Top Buys

Rank Stock Value
1
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$11M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$8.68M
3
SCIU
Global X Scientific Beta US ETF
SCIU
+$7.1M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$6.75M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$2.99M

Top Sells

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$8.16M
2
SE
Spectra Energy Corp Wi
SE
+$3.04M
3
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$1.14M
4
PKW icon
Invesco BuyBack Achievers ETF
PKW
+$765K
5
GPT
Gramercy Property Trust
GPT
+$611K

Sector Composition

Rank Sector Weight
1 Financials 9.82%
2 Technology 6.79%
3 Energy 4.95%
4 Consumer Staples 4.87%
5 Industrials 4.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CNI icon
326
Canadian National Railway
CNI
$76.6B
$94K 0.02%
1,506
– –
BXLT
327
DELISTED
BAXALTA INC COM STK (DE)
BXLT
$94K 0.02%
2,328
-145
-6% -$5.74K
FHN icon
328
First Horizon
FHN
$12.1B
$90K 0.02%
6,872
+18
+0.3% +$229
L icon
329
Loews
L
$23.6B
$90K 0.02%
2,368
– –
BSCG
330
DELISTED
Guggenheim BulletShares 2016 Corporate Bond ETF
BSCG
$88K 0.02%
4,000
– –
AIVL icon
331
WisdomTree US AI Enhanced Value Fund
AIVL
$436M
$87K 0.02%
1,165
-75
-6% -$5.27K
UAA icon
332
Under Armour
UAA
$2.6B
$87K 0.02%
2,054
+800
+64% +$31.6K
NVR icon
333
NVR
NVR
$17B
$86K 0.02%
50
– –
OGE icon
334
OGE Energy
OGE
$9.71B
$86K 0.02%
3,026
-240
-7% -$6.32K
XEL icon
335
Xcel Energy
XEL
$48.8B
$86K 0.02%
2,065
– –
STH
336
DELISTED
SABRIENT STEALTH PRT CLAYMORE EXCH TRD FD
STH
$86K 0.02%
3,571
+1,253
+54% +$30.2K
FCX icon
337
Freeport-McMoran
FCX
$97.5B
$85K 0.02%
8,273
+1,650
+25% +$11.6K
ROOF
338
DELISTED
NYLI CBRE NextGen Real Estate ETF
ROOF
$85K 0.02%
3,400
– –
FDUS icon
339
Fidus Investment
FDUS
$772M
$84K 0.02%
5,460
– –
IYM icon
340
iShares US Basic Materials ETF
IYM
$1.25B
$84K 0.02%
1,155
– –
BPL
341
DELISTED
Buckeye Partners, L.P.
BPL
$84K 0.02%
1,250
+450
+56% +$27.5K
ET icon
342
Energy Transfer Partners
ET
$69.3B
$83K 0.02%
11,776
+2,476
+27% +$19.4K
ETN icon
343
Eaton
ETN
$174B
$82K 0.02%
1,313
-245
-16% -$13.5K
ROK icon
344
Rockwell Automation
ROK
$49B
$82K 0.02%
726
+172
+31% +$17.4K
EZU icon
345
iShare MSCI Eurozone ETF
EZU
$9.91B
$81K 0.02%
+2,375
New +$78.3K
IFGL icon
346
iShares International Developed Real Estate ETF
IFGL
$83.2M
$81K 0.02%
2,800
– –
PBP icon
347
Invesco S&P 500 BuyWrite ETF
PBP
$362M
$81K 0.02%
4,000
-7,000
-64% -$138K
XLY icon
348
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$23.2B
$81K 0.02%
2,066
+1,844
+831% +$68.7K
EXC icon
349
Exelon
EXC
$47B
$80K 0.01%
3,131
+2,307
+280% +$51.7K
JWN
350
DELISTED
Nordstrom
JWN
$80K 0.01%
1,412
– –
12 13
14
15 16

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RFA
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CCT
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Carroll Financial Associates's Q1 2016 Portfolio in Review

As of Q1 2016, Carroll Financial Associates held 1,319 positions worth $538M, up 12% from $480M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $46.6M of net new capital in Q1 2016, opening 136 new positions and adding to 373 existing holdings. Its largest new stake was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.

By sector, the portfolio is most concentrated in Financials at 9.8% of assets, down from 11% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Invesco S&P 500 Downside Hedged ETF, an estimated $8.16M trimmed.

  • Carroll Financial Associates's largest Q1 2016 buy was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.
  • Carroll Financial Associates added most to Goldman Sachs ActiveBeta US Large Cap Equity ETF in Q1 2016, an estimated $11M increase.
  • Carroll Financial Associates's biggest Q1 2016 reduction was Invesco S&P 500 Downside Hedged ETF, cutting an estimated $8.16M.
  • Carroll Financial Associates fully exited UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN in Q1 2016, selling an estimated $541K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $538M portfolio in Q1 2016.
  • Carroll Financial Associates opened 136 new positions and closed 80 in Q1 2016.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $538M.

Based on Carroll Financial Associates's 13F filing for Q1 2016, filed 20 Apr 2016.