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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
HUM icon
401
Humana
HUM
$46.2B
$27K 0.01%
200
– –
ICE icon
402
Intercontinental Exchange
ICE
$84.4B
$27K 0.01%
630
-155
-20% -$5.94K
IGD
403
Voya Global Equity Dividend and Premium Opportunity Fund
IGD
$517M
$27K 0.01%
3,000
– –
IWM icon
404
iShares Russell 2000 ETF
IWM
$83B
$27K 0.01%
238
– –
JAZZ icon
405
Jazz Pharmaceuticals
JAZZ
$16.7B
$27K 0.01%
160
– –
TRIP icon
406
TripAdvisor
TRIP
$1.26B
$27K 0.01%
387
– –
XLI icon
407
State Street Industrial Select Sector SPDR ETF
XLI
$33.7B
$27K 0.01%
489
– –
AGN
408
DELISTED
Allergan plc
AGN
$27K 0.01%
114
+54
+90% +$12.1K
DOC icon
409
Healthpeak Properties
DOC
$14.8B
$26K 0.01%
676
– –
UTG icon
410
Reaves Utility Income Fund
UTG
$3.61B
$26K 0.01%
857
– –
BBBY
411
DELISTED
Bed Bath & Beyond Inc
BBBY
$26K 0.01%
375
– –
BHP icon
412
BHP
BHP
$230B
$25K 0.01%
504
– –
ISRG icon
413
Intuitive Surgical
ISRG
$134B
$25K 0.01%
450
– –
TT icon
414
Trane Technologies
TT
$106B
$25K 0.01%
400
-23
-5% -$1.39K
WIN
415
DELISTED
Windstream Holdings Inc
WIN
$25K 0.01%
340
– –
BCS.PRC
416
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$25K 0.01%
+1,000
New +$25.8K
BLK icon
417
Blackrock
BLK
$176B
$24K 0.01%
70
– –
CAG icon
418
Conagra Brands
CAG
$7.23B
$24K 0.01%
932
+20
+2% +$493
IXC icon
419
iShares Global Energy ETF
IXC
$2.76B
$24K 0.01%
600
– –
JNK icon
420
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$6.92B
$24K 0.01%
206
+67
+48% +$8.24K
LBTYK icon
421
Liberty Global Class C
LBTYK
$3.49B
$24K 0.01%
672
– –
SXT icon
422
Sensient Technologies
SXT
$5.53B
$24K 0.01%
400
– –
RAD
423
DELISTED
Rite Aid Corporation
RAD
$24K 0.01%
222
+50
+29% +$6.46K
CLGX
424
DELISTED
Corelogic, Inc.
CLGX
$24K 0.01%
800
– –
WFM
425
DELISTED
Whole Foods Market Inc
WFM
$24K 0.01%
514
– –
15 16
17
18 19

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RFA
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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.