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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
+5.33%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$480M
AUM Growth
+$29.3M
Cap. Flow
+$33.2M
Cap. Flow %
6.9%
Top 10 Hldgs %
43.82%
Holding
1,246
New
78
Increased
268
Reduced
227
Closed
63

Top Buys

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$13.4M
2
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$12.4M
3
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.78M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.38M
5
GPT
Gramercy Property Trust
GPT
+$3.09M

Top Sells

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$4.88M
2
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$3.95M
3
HTS
HATTERAS FINANCIAL CORP
HTS
+$2.22M
4
SE
Spectra Energy Corp Wi
SE
+$1.92M
5
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.58M

Sector Composition

Rank Sector Weight
1 Financials 11.29%
2 Technology 7.22%
3 Energy 5.11%
4 Consumer Staples 4.93%
5 Healthcare 4.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VRP icon
376
Invesco Variable Rate Preferred ETF
VRP
$3.01B
$59K 0.01%
2,438
-712
-23% -$17.3K
STH
377
DELISTED
SABRIENT STEALTH PRT CLAYMORE EXCH TRD FD
STH
$59K 0.01%
2,318
+1,044
+82% +$26.6K
CMS icon
378
CMS Energy
CMS
$22.3B
$58K 0.01%
1,621
– –
ROK icon
379
Rockwell Automation
ROK
$49B
$56K 0.01%
554
– –
SYK icon
380
Stryker
SYK
$130B
$56K 0.01%
610
+310
+103% +$29.7K
MHFI
381
DELISTED
MCGRAW-HILL FINANCIAL INC COM
MHFI
$56K 0.01%
573
-67
-10% -$6.35K
ETP
382
DELISTED
Energy Transfer Partners L.p.
ETP
$56K 0.01%
1,675
+100
+6% +$3.92K
PYPL icon
383
PayPal
PYPL
$50.5B
$55K 0.01%
+1,542
New +$54.4K
REGN icon
384
Regeneron Pharmaceuticals
REGN
$80.8B
$55K 0.01%
102
-10
-9% -$5.42K
BT
385
DELISTED
BT Group plc (ADR)
BT
$55K 0.01%
1,600
– –
EL icon
386
Estee Lauder
EL
$32B
$54K 0.01%
621
– –
FULT icon
387
Fulton Financial
FULT
$4.64B
$54K 0.01%
4,166
– –
DNP icon
388
DNP Select Income Fund
DNP
$4.09B
$53K 0.01%
5,938
– –
DOC icon
389
Healthpeak Properties
DOC
$14.8B
$53K 0.01%
1,532
-1
-0.1% -$33
TSM icon
390
TSMC
TSM
$2.18T
$53K 0.01%
2,370
+441
+23% +$9.92K
QEP
391
DELISTED
QEP RESOURCES, INC.
QEP
$53K 0.01%
4,000
– –
DON icon
392
WisdomTree US MidCap Dividend Fund
DON
$4.09B
$52K 0.01%
1,950
– –
FLOT icon
393
iShares Floating Rate Bond ETF
FLOT
$10.3B
$52K 0.01%
1,045
-1,097
-51% -$55.3K
PSA icon
394
Public Storage
PSA
$61.3B
$52K 0.01%
212
– –
HSBC.PRA
395
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$52K 0.01%
2,040
– –
NNC
396
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
$52K 0.01%
4,013
– –
BPL
397
DELISTED
Buckeye Partners, L.P.
BPL
$52K 0.01%
800
– –
ATO icon
398
Atmos Energy
ATO
$28.8B
$51K 0.01%
824
– –
BUD icon
399
AB InBev
BUD
$165B
$51K 0.01%
412
-11
-3% -$1.33K
RWR icon
400
State Street SPDR Dow Jones REIT ETF
RWR
$1.97B
$51K 0.01%
557
– –
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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RM
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Carroll Financial Associates's Q4 2015 Portfolio in Review

As of Q4 2015, Carroll Financial Associates held 1,246 positions worth $480M, up 6.5% from $451M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $33.2M of net new capital in Q4 2015, opening 78 new positions and adding to 268 existing holdings. Its largest new stake was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was JP Morgan Alerian MLP Index ETN 5/24/24, an estimated $4.88M trimmed.

  • Carroll Financial Associates's largest Q4 2015 buy was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q4 2015, an estimated $13.4M increase.
  • Carroll Financial Associates's biggest Q4 2015 reduction was JP Morgan Alerian MLP Index ETN 5/24/24, cutting an estimated $4.88M.
  • Carroll Financial Associates fully exited CHAMBERS STR PPTYS COM in Q4 2015, selling an estimated $1.58M.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $480M portfolio in Q4 2015.
  • Carroll Financial Associates opened 78 new positions and closed 63 in Q4 2015.
  • Carroll Financial Associates's portfolio value rose 6.5% quarter-over-quarter to $480M.

Based on Carroll Financial Associates's 13F filing for Q4 2015, filed 12 Jan 2016.