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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
+2.92%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$666M
AUM Growth
+$68.1M
Cap. Flow
+$54.1M
Cap. Flow %
8.12%
Top 10 Hldgs %
45.11%
Holding
1,312
New
70
Increased
326
Reduced
189
Closed
67

Top Buys

Rank Stock Value
1
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$16.4M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.6M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$3.36M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$2.45M
5
XOM icon
ExxonMobil
XOM
+$2.01M

Top Sells

Rank Stock Value
1
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.12M
2
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$945K
3
WT icon
WisdomTree
WT
+$765K
4
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$535K
5
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$516K

Sector Composition

Rank Sector Weight
1 Financials 8.9%
2 Technology 6.08%
3 Energy 4.49%
4 Healthcare 4.43%
5 Consumer Staples 4.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CNI icon
326
Canadian National Railway
CNI
$76.6B
$107K 0.02%
1,638
+132
+9% +$8.34K
IYH icon
327
iShares US Healthcare ETF
IYH
$3.54B
$107K 0.02%
3,590
+175
+5% +$5.35K
FHN icon
328
First Horizon
FHN
$12.1B
$106K 0.02%
7,000
+106
+2% +$1.57K
IDV icon
329
iShares International Select Dividend ETF
IDV
$8.51B
$106K 0.02%
3,536
+126
+4% +$3.73K
IGSB icon
330
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$106K 0.02%
2,020
-190
-9% -$10.1K
FLIR
331
DELISTED
FLIR Systems, Inc. (DE) Common Stock
FLIR
$106K 0.02%
3,400
– –
SPXE icon
332
ProShares S&P 500 ex-Energy ETF
SPXE
$86.7M
$105K 0.02%
4,760
– –
GS icon
333
Goldman Sachs
GS
$303B
$104K 0.02%
650
– –
RAI
334
DELISTED
Reynolds American Inc
RAI
$104K 0.02%
2,223
-31
-1% -$1.55K
AON icon
335
Aon
AON
$76B
$102K 0.02%
907
+7
+0.8% +$772
ATO icon
336
Atmos Energy
ATO
$28.8B
$102K 0.02%
1,378
+704
+104% +$54.2K
XLU icon
337
State Street Utilities Select Sector SPDR ETF
XLU
$22.5B
$102K 0.02%
4,196
– –
BMS
338
DELISTED
Bemis
BMS
$102K 0.02%
2,000
– –
DGRO icon
339
iShares Core Dividend Growth ETF
DGRO
$43.5B
$101K 0.02%
3,675
+2,635
+253% +$73.5K
FBIN icon
340
Fortune Brands Innovations
FBIN
$6.06B
$101K 0.02%
2,036
– –
IBMF
341
DELISTED
iShares iBonds Sep 2017 Term Muni Bond ETF
IBMF
$101K 0.02%
3,700
– –
AIVL icon
342
WisdomTree US AI Enhanced Value Fund
AIVL
$436M
$99K 0.01%
1,265
+100
+9% +$7.86K
AHRT
343
AH Realty Trust
AHRT
$517M
$98K 0.01%
7,385
+1,095
+17% +$15.3K
DINO icon
344
HF Sinclair
DINO
$14.5B
$98K 0.01%
4,027
+3,699
+1,128% +$93K
RIO icon
345
Rio Tinto
RIO
$164B
$98K 0.01%
2,951
-1,491
-34% -$47.5K
EW icon
346
Edwards Lifesciences
EW
$51.7B
$96K 0.01%
2,400
– –
L icon
347
Loews
L
$23.6B
$96K 0.01%
2,355
-13
-0.5% -$534
OGE icon
348
OGE Energy
OGE
$9.71B
$95K 0.01%
3,026
– –
TWX
349
DELISTED
Time Warner Inc
TWX
$95K 0.01%
1,198
+135
+13% +$10.5K
ACN icon
350
Accenture
ACN
$108B
$94K 0.01%
775
– –
12 13
14
15 16

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6M
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RFA
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CCT
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Carroll Financial Associates's Q3 2016 Portfolio in Review

As of Q3 2016, Carroll Financial Associates held 1,312 positions worth $666M, up 11% from $598M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $54.1M of net new capital in Q3 2016, opening 70 new positions and adding to 326 existing holdings. Its largest new stake was iShares Russell 1000 ETF: 1,252 shares worth $150K.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, down from 9.3% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Xtrackers MSCI Europe Hedged Equity ETF, an estimated $2.12M trimmed.

  • Carroll Financial Associates's largest Q3 2016 buy was iShares Russell 1000 ETF: 1,252 shares worth $150K.
  • Carroll Financial Associates added most to Knowledge Leaders Developed World ETF in Q3 2016, an estimated $16.4M increase.
  • Carroll Financial Associates's biggest Q3 2016 reduction was Xtrackers MSCI Europe Hedged Equity ETF, cutting an estimated $2.12M.
  • Carroll Financial Associates fully exited UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN in Q3 2016, selling an estimated $945K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $666M portfolio in Q3 2016.
  • Carroll Financial Associates opened 70 new positions and closed 67 in Q3 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $666M.

Based on Carroll Financial Associates's 13F filing for Q3 2016, filed 11 Oct 2016.