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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
MEAR icon
401
BlackRock Short Maturity Municipal Bond ETF
MEAR
$1.36B
$72K 0.01%
1,450
– –
AET
402
DELISTED
Aetna Inc
AET
$72K 0.01%
630
+11
+2% +$1.29K
UL icon
403
Unilever
UL
$136B
$71K 0.01%
1,339
-5
-0.4% -$264
VKI icon
404
Invesco Advantage Municipal Income Trust II
VKI
$401M
$71K 0.01%
5,850
– –
EV
405
DELISTED
Eaton Vance Corp.
EV
$71K 0.01%
1,840
– –
EZU icon
406
iShare MSCI Eurozone ETF
EZU
$9.91B
$70K 0.01%
2,055
-320
-13% -$10.8K
HAL icon
407
Halliburton
HAL
$26.6B
$70K 0.01%
1,561
-245
-14% -$10.7K
IVE icon
408
iShares S&P 500 Value ETF
IVE
$49.8B
$70K 0.01%
740
– –
VYM icon
409
Vanguard High Dividend Yield ETF
VYM
$82.8B
$70K 0.01%
979
– –
EXC icon
410
Exelon
EXC
$47B
$69K 0.01%
2,923
-4
-0.1% -$100
CINF icon
411
Cincinnati Financial
CINF
$27.1B
$68K 0.01%
907
+66
+8% +$5K
CMS icon
412
CMS Energy
CMS
$22.3B
$68K 0.01%
1,619
-2
-0.1% -$87
FPE icon
413
First Trust Preferred Securities and Income ETF
FPE
$6.36B
$68K 0.01%
3,500
+1,400
+67% +$27.3K
COF icon
414
Capital One
COF
$134B
$67K 0.01%
938
+175
+23% +$12K
ITM icon
415
VanEck Intermediate Muni ETF
ITM
$2.15B
$67K 0.01%
1,365
– –
IWR icon
416
iShares Russell Mid-Cap ETF
IWR
$57.4B
$67K 0.01%
1,556
-152
-9% -$6.59K
MRSH
417
Marsh
MRSH
$91.5B
$67K 0.01%
998
+236
+31% +$15.8K
IWM icon
418
iShares Russell 2000 ETF
IWM
$83B
$66K 0.01%
535
-9
-2% -$1.09K
LCTX icon
419
Lineage Cell Therapeutics
LCTX
$278M
$66K 0.01%
19,431
– –
UAA icon
420
Under Armour
UAA
$2.6B
$66K 0.01%
1,717
+100
+6% +$4.04K
TSLA icon
421
Tesla
TSLA
$1.3T
$65K 0.01%
4,815
+975
+25% +$14.1K
VB icon
422
Vanguard Morningstar Small-Cap ETF
VB
$82.4B
$65K 0.01%
+534
New +$64.6K
CEF icon
423
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$64K 0.01%
4,656
– –
MKC icon
424
McCormick & Company Non-Voting
MKC
$14.2B
$64K 0.01%
1,300
– –
BBDC icon
425
Barings BDC
BBDC
$965M
$63K 0.01%
3,200
-1,900
-37% -$37.5K
15 16
17
18 19

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NFG
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6M
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RFA
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CCT
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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.