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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
IWS icon
451
iShares Russell Mid-Cap Value ETF
IWS
$16B
$20K 0.01%
280
– –
IXJ icon
452
iShares Global Healthcare ETF
IXJ
$4.18B
$20K 0.01%
406
– –
KR icon
453
Kroger
KR
$34.8B
$20K 0.01%
700
-70
-9% -$1.77K
KRE icon
454
State Street SPDR S&P Regional Banking ETF
KRE
$4.64B
$20K 0.01%
500
– –
NAVI icon
455
Navient
NAVI
$853M
$20K 0.01%
1,000
– –
O icon
456
Realty Income
O
$59.1B
$20K 0.01%
460
-1,239
-73% -$52.8K
RPG icon
457
Invesco S&P 500 Pure Growth ETF
RPG
$2.09B
$20K 0.01%
1,305
– –
SPE
458
Special Opportunities Fund
SPE
$144M
$20K 0.01%
1,256
– –
VIS icon
459
Vanguard Industrials ETF
VIS
$8.39B
$20K 0.01%
195
– –
TE
460
DELISTED
TECO ENERGY INC
TE
$20K 0.01%
1,065
– –
LINE
461
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$20K 0.01%
888
+29
+3% +$903
EES icon
462
WisdomTree US SmallCap Earnings Fund
EES
$731M
$19K 0.01%
708
– –
ITB icon
463
iShares US Home Construction ETF
ITB
$2.35B
$19K 0.01%
775
– –
RSG icon
464
Republic Services
RSG
$65.7B
$19K 0.01%
500
– –
UAL icon
465
United Airlines
UAL
$42.1B
$19K 0.01%
355
– –
SFE
466
DELISTED
Safeguard Scientifics, Inc.
SFE
$19K 0.01%
1,000
– –
KOL
467
DELISTED
VanEck Vectors Coal ETF
KOL
$19K 0.01%
119
– –
OKS
468
DELISTED
Oneok Partners LP
OKS
$19K 0.01%
400
-4,000
-91% -$228K
NGLS
469
DELISTED
TARGA RESOURCES PARTNERS LP COM UTS REPTG LTD PARTERSHIP INT
NGLS
$19K 0.01%
350
– –
BGC icon
470
BGC Group
BGC
$4.89B
$18K 0.01%
3,331
-5,615
-63% -$27.5K
EXC icon
471
Exelon
EXC
$47B
$18K 0.01%
701
-421
-38% -$9.86K
HES
472
DELISTED
Hess
HES
$18K 0.01%
218
-105
-33% -$10.4K
IXN icon
473
iShares Global Tech ETF
IXN
$8.83B
$18K 0.01%
1,200
– –
RNP icon
474
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$18K 0.01%
1,000
– –
SPG icon
475
Simon Property Group
SPG
$72.3B
$18K 0.01%
100
– –
17 18
19
20 21

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NFG
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6M
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RFA
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CCT
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C
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CC
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RM
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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.