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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
+5.33%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$480M
AUM Growth
+$29.3M
Cap. Flow
+$33.2M
Cap. Flow %
6.9%
Top 10 Hldgs %
43.82%
Holding
1,246
New
78
Increased
268
Reduced
227
Closed
63

Top Buys

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$13.4M
2
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$12.4M
3
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.78M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.38M
5
GPT
Gramercy Property Trust
GPT
+$3.09M

Top Sells

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$4.88M
2
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$3.95M
3
HTS
HATTERAS FINANCIAL CORP
HTS
+$2.22M
4
SE
Spectra Energy Corp Wi
SE
+$1.92M
5
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.58M

Sector Composition

Rank Sector Weight
1 Financials 11.29%
2 Technology 7.22%
3 Energy 5.11%
4 Consumer Staples 4.93%
5 Healthcare 4.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DBD
426
DELISTED
Diebold Nixdorf Incorporated
DBD
$45K 0.01%
1,500
– –
BABA icon
427
Alibaba
BABA
$308B
$44K 0.01%
550
– –
FCX icon
428
Freeport-McMoran
FCX
$97.5B
$44K 0.01%
6,623
-3,360
-34% -$32K
TSLA icon
429
Tesla
TSLA
$1.3T
$43K 0.01%
2,715
+450
+20% +$6.73K
APH icon
430
Amphenol
APH
$209B
$42K 0.01%
3,236
– –
FBNC icon
431
First Bancorp
FBNC
$2.68B
$42K 0.01%
2,291
– –
FDN icon
432
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.45B
$42K 0.01%
575
+280
+95% +$20.7K
TNK icon
433
Teekay Tankers
TNK
$2.68B
$42K 0.01%
775
+750
+3,000% +$44.1K
AFSI
434
DELISTED
AmTrust Financial Services, Inc.
AFSI
$42K 0.01%
1,368
-84
-6% -$2.69K
DEG
435
DELISTED
ETABLISSEMENT DELHZ ADS 4 ADS REPTGS 1 ORD SHS
DEG
$42K 0.01%
1,752
-800
-31% -$19K
BEN icon
436
Franklin Resources
BEN
$17.2B
$41K 0.01%
1,134
– –
EBAY icon
437
eBay
EBAY
$49.8B
$41K 0.01%
1,499
+49
+3% +$1.35K
FMC icon
438
FMC
FMC
$1.33B
$41K 0.01%
1,219
– –
HYS icon
439
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.75B
$41K 0.01%
450
– –
WU icon
440
Western Union
WU
$2.21B
$41K 0.01%
2,300
– –
ING icon
441
ING
ING
$102B
$40K 0.01%
3,007
– –
NEM icon
442
Newmont
NEM
$119B
$40K 0.01%
2,248
-100
-4% -$1.84K
NWN icon
443
Northwest Natural Holdings
NWN
$2.12B
$40K 0.01%
800
– –
SPG icon
444
Simon Property Group
SPG
$72.3B
$40K 0.01%
210
+110
+110% +$21.3K
VO icon
445
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$40K 0.01%
1,336
– –
CEF icon
446
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$39K 0.01%
3,970
– –
DBA icon
447
Invesco DB Agriculture Fund
DBA
$1.23B
$39K 0.01%
1,900
– –
DFE icon
448
WisdomTree Europe SmallCap Dividend Fund
DFE
$169M
$39K 0.01%
700
– –
YORW icon
449
York Water
YORW
$514M
$39K 0.01%
1,575
– –
MNK
450
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$39K 0.01%
527
-194
-27% -$13.1K
16 17
18
19 20

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NFG
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6M
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RFA
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CCT
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RM
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Carroll Financial Associates's Q4 2015 Portfolio in Review

As of Q4 2015, Carroll Financial Associates held 1,246 positions worth $480M, up 6.5% from $451M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $33.2M of net new capital in Q4 2015, opening 78 new positions and adding to 268 existing holdings. Its largest new stake was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was JP Morgan Alerian MLP Index ETN 5/24/24, an estimated $4.88M trimmed.

  • Carroll Financial Associates's largest Q4 2015 buy was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q4 2015, an estimated $13.4M increase.
  • Carroll Financial Associates's biggest Q4 2015 reduction was JP Morgan Alerian MLP Index ETN 5/24/24, cutting an estimated $4.88M.
  • Carroll Financial Associates fully exited CHAMBERS STR PPTYS COM in Q4 2015, selling an estimated $1.58M.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $480M portfolio in Q4 2015.
  • Carroll Financial Associates opened 78 new positions and closed 63 in Q4 2015.
  • Carroll Financial Associates's portfolio value rose 6.5% quarter-over-quarter to $480M.

Based on Carroll Financial Associates's 13F filing for Q4 2015, filed 12 Jan 2016.