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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
APH icon
426
Amphenol
APH
$209B
$23K 0.01%
3,680
+1,840
+100% +$23.1K
EOG icon
427
EOG Resources
EOG
$70.7B
$23K 0.01%
238
+154
+183% +$16.7K
IWR icon
428
iShares Russell Mid-Cap ETF
IWR
$57.4B
$23K 0.01%
576
– –
VMO icon
429
Invesco Municipal Opportunity Trust
VMO
$663M
$23K 0.01%
1,829
– –
QVCGA
430
DELISTED
QVC Group Inc Series A
QVCGA
$23K 0.01%
20
-3
-13% -$3.55K
ADRE
431
DELISTED
Invesco BLDRS Emerging Markets 50 ADR Index Fund
ADRE
$23K 0.01%
600
– –
AEG icon
432
Aegon
AEG
$14.1B
$22K 0.01%
4,005
-69
-2% -$390
EXPE icon
433
Expedia Group
EXPE
$37.3B
$22K 0.01%
257
– –
MRSH
434
Marsh
MRSH
$91.5B
$22K 0.01%
400
– –
PHM icon
435
Pultegroup
PHM
$25.3B
$22K 0.01%
1,055
-25
-2% -$471
VLO icon
436
Valero Energy
VLO
$85.9B
$22K 0.01%
443
– –
PCP
437
DELISTED
PRECISION CASTPARTS CORP
PCP
$22K 0.01%
101
-5
-5% -$1.21K
ETP
438
DELISTED
Energy Transfer Partners L.p.
ETP
$22K 0.01%
340
– –
DOV icon
439
Dover
DOV
$28.4B
$21K 0.01%
332
– –
EG icon
440
Everest Group
EG
$14.4B
$21K 0.01%
126
– –
GNRC icon
441
Generac Holdings
GNRC
$12.5B
$21K 0.01%
+500
New +$22.4K
IDV icon
442
iShares International Select Dividend ETF
IDV
$8.51B
$21K 0.01%
+590
New +$22.7K
MS icon
443
Morgan Stanley
MS
$340B
$21K 0.01%
609
– –
RWJ icon
444
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.1B
$21K 0.01%
1,170
– –
VEA icon
445
Vanguard FTSE Developed Markets ETF
VEA
$236B
$21K 0.01%
550
– –
VTI icon
446
Vanguard Morningstar Total Stock Market ETF
VTI
$684B
$21K 0.01%
209
-4,379
-95% -$448K
RJI
447
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Total Return
RJI
$21K 0.01%
3,000
– –
COL
448
DELISTED
Rockwell Collins
COL
$21K 0.01%
254
-300
-54% -$23.1K
EMDG
449
DELISTED
EGA EMERGING GLOBAL SHS TR EGSHARES EMERGING MKTS
EMDG
$21K 0.01%
1,100
– –
TWC
450
DELISTED
TIME WARNER CABLE INC NEW COM STK
TWC
$21K 0.01%
163
-1,130
-87% -$168K
16 17
18
19 20

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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.