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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
DTE icon
376
DTE Energy
DTE
$29.1B
$84K 0.01%
+1,058
New +$86.2K
IFGL icon
377
iShares International Developed Real Estate ETF
IFGL
$83.2M
$84K 0.01%
2,800
– –
WBA
378
DELISTED
Walgreens Boots Alliance
WBA
$84K 0.01%
1,046
+161
+18% +$13.1K
XEL icon
379
Xcel Energy
XEL
$48.8B
$84K 0.01%
2,065
– –
FCX icon
380
Freeport-McMoran
FCX
$97.5B
$83K 0.01%
7,693
+310
+4% +$3.56K
VTIP icon
381
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.1B
$83K 0.01%
1,682
+1,200
+249% +$59.3K
MPC icon
382
Marathon Petroleum
MPC
$83.7B
$82K 0.01%
2,037
-4
-0.2% -$162
MBB icon
383
iShares MBS ETF
MBB
$39.1B
$81K 0.01%
736
+20
+3% +$2.2K
DE icon
384
Deere & Co
DE
$168B
$80K 0.01%
945
+105
+13% +$8.59K
LSI
385
DELISTED
Life Storage, Inc.
LSI
$80K 0.01%
1,350
– –
BABA icon
386
Alibaba
BABA
$308B
$79K 0.01%
750
– –
QEP
387
DELISTED
QEP RESOURCES, INC.
QEP
$78K 0.01%
4,000
– –
DLN icon
388
WisdomTree US LargeCap Dividend Fund
DLN
$6.39B
$76K 0.01%
2,000
– –
IYG icon
389
iShares US Financial Services ETF
IYG
$2.2B
$76K 0.01%
2,625
– –
NLY icon
390
Annaly Capital Management
NLY
$17.4B
$76K 0.01%
1,818
+49
+3% +$2.12K
WY icon
391
Weyerhaeuser
WY
$18.4B
$76K 0.01%
2,388
+87
+4% +$2.75K
CEFL
392
DELISTED
ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN
CEFL
$75K 0.01%
4,190
-9,400
-69% -$169K
PYPL icon
393
PayPal
PYPL
$50.5B
$74K 0.01%
1,829
-55
-3% -$2.11K
UUP icon
394
Invesco DB US Dollar Index Bullish Fund
UUP
$422M
$74K 0.01%
3,000
– –
CCI icon
395
Crown Castle
CCI
$32.2B
$73K 0.01%
779
-29
-4% -$2.79K
IBND icon
396
State Street SPDR Bloomberg International Corporate Bond ETF
IBND
$463M
$73K 0.01%
2,206
+667
+43% +$22.1K
PFF icon
397
iShares Preferred and Income Securities ETF
PFF
$13.3B
$73K 0.01%
1,849
-3,457
-65% -$138K
XLY icon
398
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$23.2B
$73K 0.01%
1,844
-222
-11% -$8.94K
XYL icon
399
Xylem
XYL
$28.1B
$73K 0.01%
1,400
– –
DOC icon
400
Healthpeak Properties
DOC
$14.8B
$72K 0.01%
2,103
+659
+46% +$23.1K
14 15
16
17 18

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6M
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RFA
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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.