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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
+3.28%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$598M
AUM Growth
+$59.6M
Cap. Flow
+$43.1M
Cap. Flow %
7.2%
Top 10 Hldgs %
43.55%
Holding
1,314
New
74
Increased
273
Reduced
187
Closed
72

Top Buys

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$11.8M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.4M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.35M
4
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$5M
5
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$2.91M

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.79M
2
GE icon
GE Aerospace
GE
+$1.61M
3
KMI icon
Kinder Morgan
KMI
+$1.27M
4
PACW
PacWest Bancorp
PACW
+$702K
5
BDCS
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
+$633K

Sector Composition

Rank Sector Weight
1 Financials 9.27%
2 Technology 5.91%
3 Energy 5.03%
4 Healthcare 4.76%
5 Consumer Staples 4.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BIDU icon
426
Baidu
BIDU
$37.2B
$55K 0.01%
334
+38
+13% +$6.67K
RWR icon
427
State Street SPDR Dow Jones REIT ETF
RWR
$1.97B
$55K 0.01%
557
– –
CELG
428
DELISTED
Celgene Corp
CELG
$55K 0.01%
564
-16
-3% -$1.66K
ATO icon
429
Atmos Energy
ATO
$28.8B
$54K 0.01%
674
– –
FDN icon
430
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.45B
$54K 0.01%
751
– –
FDX icon
431
FedEx
FDX
$75.4B
$54K 0.01%
359
+100
+39% +$16.2K
MKL icon
432
Markel Group
MKL
$23.2B
$54K 0.01%
57
– –
TSLA icon
433
Tesla
TSLA
$1.3T
$54K 0.01%
3,840
+300
+8% +$4.55K
VOX icon
434
Vanguard Communication Services ETF
VOX
$5.76B
$54K 0.01%
553
– –
JWN
435
DELISTED
Nordstrom
JWN
$53K 0.01%
1,412
– –
FLOT icon
436
iShares Floating Rate Bond ETF
FLOT
$10.3B
$52K 0.01%
1,045
– –
MRSH
437
Marsh
MRSH
$91.5B
$52K 0.01%
762
– –
RDOG icon
438
ALPS REIT Dividend Dogs ETF
RDOG
$11.3M
$52K 0.01%
1,173
+11
+0.9% +$483
HSBC.PRA
439
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$52K 0.01%
2,040
– –
DON icon
440
WisdomTree US MidCap Dividend Fund
DON
$4.09B
$51K 0.01%
1,725
– –
NWN icon
441
Northwest Natural Holdings
NWN
$2.12B
$51K 0.01%
800
– –
WAT icon
442
Waters Corp
WAT
$39.9B
$51K 0.01%
365
– –
DG icon
443
Dollar General
DG
$27.9B
$50K 0.01%
534
– –
EMN icon
444
Eastman Chemical
EMN
$8.42B
$50K 0.01%
739
– –
EQAL icon
445
Invesco Russell 1000 Equal Weight ETF
EQAL
$838M
$50K 0.01%
2,000
– –
IBND icon
446
State Street SPDR Bloomberg International Corporate Bond ETF
IBND
$463M
$50K 0.01%
1,539
+355
+30% +$11.7K
YORW icon
447
York Water
YORW
$514M
$50K 0.01%
1,575
– –
RBS.PRR
448
DELISTED
Royal Bank of Scotland Group Plc (The) ADR repstg USD Pfd Sh
RBS.PRR
$50K 0.01%
+2,000
New +$49.7K
DLR icon
449
Digital Realty Trust
DLR
$71.7B
$49K 0.01%
457
– –
COF icon
450
Capital One
COF
$134B
$48K 0.01%
763
-385
-34% -$26.8K
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 Q2 2016 Portfolio in Review

As of Q2 2016, Carroll Financial Associates held 1,314 positions worth $598M, up 11% from $538M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $43.1M of net new capital in Q2 2016, opening 74 new positions and adding to 273 existing holdings. Its largest new stake was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.

By sector, the portfolio is most concentrated in Financials at 9.3% of assets, down from 9.8% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares MSCI USA Min Vol Factor ETF, an estimated $5.79M trimmed.

  • Carroll Financial Associates's largest Q2 2016 buy was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.
  • Carroll Financial Associates added most to iShares MSCI USA Momentum Factor ETF in Q2 2016, an estimated $11.8M increase.
  • Carroll Financial Associates's biggest Q2 2016 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $5.79M.
  • Carroll Financial Associates fully exited UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com in Q2 2016, selling an estimated $633K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $598M portfolio in Q2 2016.
  • Carroll Financial Associates opened 74 new positions and closed 72 in Q2 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $598M.

Based on Carroll Financial Associates's 13F filing for Q2 2016, filed 18 Jul 2016.