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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
LYB icon
376
LyondellBasell Industries
LYB
$19.2B
$32K 0.01%
371
– –
VFC icon
377
VF Corp
VFC
$5.89B
$31K 0.01%
472
– –
DFS
378
DELISTED
Discover Financial Services
DFS
$30K 0.01%
464
– –
FAST icon
379
Fastenal
FAST
$59.5B
$30K 0.01%
2,772
– –
PHO icon
380
Invesco Water Resources ETF
PHO
$2.09B
$30K 0.01%
1,150
– –
STX icon
381
Seagate
STX
$184B
$30K 0.01%
495
– –
TDC icon
382
Teradata
TDC
$2.55B
$30K 0.01%
700
– –
TSLA icon
383
Tesla
TSLA
$1.3T
$30K 0.01%
1,815
+165
+10% +$2.72K
AET
384
DELISTED
Aetna Inc
AET
$30K 0.01%
364
+106
+41% +$8.63K
MJN
385
DELISTED
Mead Johnson Nutrition Company
MJN
$30K 0.01%
311
– –
FTR
386
DELISTED
Frontier Communications Corp.
FTR
$30K 0.01%
317
-28
-8% -$2.67K
IJK icon
387
iShares S&P Mid-Cap 400 Growth ETF
IJK
$11.2B
$29K 0.01%
732
– –
NOV icon
388
NOV
NOV
$7B
$29K 0.01%
407
+202
+99% +$16.7K
AEP icon
389
American Electric Power
AEP
$68.4B
$28K 0.01%
500
-1,845
-79% -$97.6K
BKNG icon
390
Booking.com
BKNG
$161B
$28K 0.01%
600
– –
BLE
391
DELISTED
BlackRock Municipal Income Trust II
BLE
$28K 0.01%
1,816
– –
CNI icon
392
Canadian National Railway
CNI
$76.6B
$28K 0.01%
400
– –
DHR icon
393
Danaher
DHR
$144B
$28K 0.01%
521
– –
DIA icon
394
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46.5B
$28K 0.01%
160
– –
EL icon
395
Estee Lauder
EL
$32B
$28K 0.01%
390
– –
ROK icon
396
Rockwell Automation
ROK
$49B
$28K 0.01%
254
-300
-54% -$35.3K
WPC icon
397
W.P. Carey
WPC
$16.4B
$28K 0.01%
440
-1
-0.2% -$65
XLB icon
398
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$28K 0.01%
1,166
– –
FAF icon
399
First American
FAF
$7.58B
$27K 0.01%
900
– –
HOG icon
400
Harley-Davidson
HOG
$2.71B
$27K 0.01%
406
-113
-22% -$7.22K
14 15
16
17 18

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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 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.