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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
-7.01%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$451M
AUM Growth
+$4.05M
Cap. Flow
+$19M
Cap. Flow %
4.21%
Top 10 Hldgs %
41.98%
Holding
1,252
New
121
Increased
384
Reduced
193
Closed
84

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.52M
2
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$2.56M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.18M
4
TREE icon
LendingTree
TREE
+$1.57M
5
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$1.53M

Top Sells

Rank Stock Value
1
BBRC
Columbia Beyond BRICs ETF
BBRC
+$5.39M
2
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$4.09M
3
OCSL icon
Oaktree Specialty Lending
OCSL
+$1.36M
4
DGRE icon
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
+$861K
5
BAX icon
Baxter International
BAX
+$815K

Sector Composition

Rank Sector Weight
1 Financials 11.5%
2 Technology 7.62%
3 Energy 5.42%
4 Healthcare 5.01%
5 Consumer Staples 4.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MKL icon
401
Markel Group
MKL
$23.2B
$48K 0.01%
57
-1
-2% -$846
PSA icon
402
Public Storage
PSA
$61.3B
$48K 0.01%
212
– –
XYL icon
403
Xylem
XYL
$28.1B
$48K 0.01%
1,400
– –
PX
404
DELISTED
Praxair Inc
PX
$48K 0.01%
447
-265
-37% -$29.2K
CSC
405
DELISTED
Computer Sciences
CSC
$48K 0.01%
1,780
– –
KNL
406
DELISTED
Knoll, Inc.
KNL
$48K 0.01%
2,000
– –
MBB icon
407
iShares MBS ETF
MBB
$39.1B
$46K 0.01%
423
+142
+51% +$15.5K
PKB icon
408
Invesco Building & Construction ETF
PKB
$399M
$46K 0.01%
1,975
– –
VOX icon
409
Vanguard Communication Services ETF
VOX
$5.85B
$46K 0.01%
553
– –
CDK
410
DELISTED
CDK Global, Inc.
CDK
$46K 0.01%
942
– –
COL
411
DELISTED
Rockwell Collins
COL
$46K 0.01%
554
-32
-5% -$2.75K
CEF icon
412
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$45K 0.01%
3,970
– –
VDC icon
413
Vanguard Consumer Staples ETF
VDC
$7.97B
$45K 0.01%
359
– –
VOO icon
414
Vanguard S&P 500 ETF
VOO
$1.03T
$45K 0.01%
244
– –
PCI
415
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$45K 0.01%
2,400
– –
CMCSK
416
DELISTED
COMCAST CORP SPL A (NEW)
CMCSK
$45K 0.01%
745
+44
+6% +$2.66K
EFAV icon
417
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.51B
$44K 0.01%
675
+125
+23% +$8.14K
EQR icon
418
Equity Residential
EQR
$25.1B
$44K 0.01%
556
– –
FWONK icon
419
Liberty Media Series C
FWONK
$25.8B
$44K 0.01%
1,701
-90
-5% -$2.31K
NVO
420
Novo Nordisk
NVO
$209B
$44K 0.01%
1,650
-260
-14% -$7.36K
WAT icon
421
Waters Corp
WAT
$39.9B
$44K 0.01%
365
– –
BEN icon
422
Franklin Resources
BEN
$17.2B
$43K 0.01%
1,134
– –
BLK icon
423
Blackrock
BLK
$176B
$43K 0.01%
135
+65
+93% +$21K
HYS icon
424
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.77B
$43K 0.01%
450
– –
ING icon
425
ING
ING
$102B
$43K 0.01%
3,007
-169
-5% -$2.66K
15 16
17
18 19

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TU
TDAM USA Toronto, Ontario, Canada $1.61B AUM 28.05% 1-Year Est. Return
NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

Carroll Financial Associates's Q3 2015 Portfolio in Review

As of Q3 2015, Carroll Financial Associates held 1,252 positions worth $451M, up 0.91% from $447M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Carroll Financial Associates deployed $19M of net new capital in Q3 2015, opening 121 new positions and adding to 384 existing holdings. Its largest new stake was PacWest Bancorp: 21,542 shares worth $926K.

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

On the sell side, the largest reduction was Columbia Beyond BRICs ETF, an estimated $5.39M trimmed.

  • Carroll Financial Associates's largest Q3 2015 buy was PacWest Bancorp: 21,542 shares worth $926K.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q3 2015, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q3 2015 reduction was Columbia Beyond BRICs ETF, cutting an estimated $5.39M.
  • Carroll Financial Associates fully exited KRAFT FOODS GROUP INC COM STK (VA) in Q3 2015, selling an estimated $475K.
  • Carroll Financial Associates's ten largest holdings make up 42% of its $451M portfolio in Q3 2015.
  • Carroll Financial Associates opened 121 new positions and closed 84 in Q3 2015.
  • Carroll Financial Associates's portfolio value rose 0.91% quarter-over-quarter to $451M.

Based on Carroll Financial Associates's 13F filing for Q3 2015, filed 28 Oct 2015.