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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
+3.88%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$701M
AUM Growth
+$34.8M
Cap. Flow
+$12.6M
Cap. Flow %
1.79%
Top 10 Hldgs %
45.65%
Holding
1,296
New
50
Increased
228
Reduced
255
Closed
65

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$5.71M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.33M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$4M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$3.71M
5
IVV icon
iShares Core S&P 500 ETF
IVV
+$1.58M

Top Sells

Rank Stock Value
1
PSTB
Park Sterling Corp.
PSTB
+$2.87M
2
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.52M
3
PNY
PIEDMONT NATURAL GAS CO INC(NC
PNY
+$2.34M
4
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$1.12M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$842K

Sector Composition

Rank Sector Weight
1 Financials 9.48%
2 Technology 5.84%
3 Energy 4.14%
4 Healthcare 3.95%
5 Industrials 3.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EQAL icon
451
Invesco Russell 1000 Equal Weight ETF
EQAL
$838M
$53K 0.01%
2,000
– –
CRM icon
452
Salesforce
CRM
$158B
$52K 0.01%
760
-70
-8% -$5.08K
SAP icon
453
SAP
SAP
$238B
$52K 0.01%
609
+52
+9% +$4.46K
UNM icon
454
Unum
UNM
$14.3B
$52K 0.01%
1,200
-250
-17% -$10K
CAG icon
455
Conagra Brands
CAG
$7.23B
$51K 0.01%
1,296
-369
-22% -$13.8K
ELV icon
456
Elevance Health
ELV
$85.5B
$51K 0.01%
356
-40
-10% -$5.36K
ESG icon
457
FlexShares STOXX US ESG Select Index Fund
ESG
$137M
$51K 0.01%
+980
New +$50.5K
IWO icon
458
iShares Russell 2000 Growth ETF
IWO
$15.1B
$51K 0.01%
336
+94
+39% +$14K
WPC icon
459
W.P. Carey
WPC
$16.4B
$51K 0.01%
894
– –
HSBC.PRA
460
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$51K 0.01%
2,040
– –
COL
461
DELISTED
Rockwell Collins
COL
$51K 0.01%
554
-70
-11% -$6.17K
BGC icon
462
BGC Group
BGC
$4.89B
$50K 0.01%
7,711
+32
+0.4% +$194
BUD icon
463
AB InBev
BUD
$165B
$50K 0.01%
482
+7
+1% +$785
WU icon
464
Western Union
WU
$2.21B
$50K 0.01%
2,309
+2
+0.1% +$42
CART
465
DELISTED
Carolina Trust BancShares
CART
$50K 0.01%
7,925
+300
+4% +$1.86K
JWN
466
DELISTED
Nordstrom
JWN
$49K 0.01%
1,031
+74
+8% +$4.02K
LMT icon
467
Lockheed Martin
LMT
$136B
$49K 0.01%
198
+17
+9% +$4.25K
RDOG icon
468
ALPS REIT Dividend Dogs ETF
RDOG
$11.3M
$49K 0.01%
1,185
+8
+0.7% +$335
WAT icon
469
Waters Corp
WAT
$39.9B
$49K 0.01%
365
– –
WM icon
470
Waste Management
WM
$91B
$49K 0.01%
704
+8
+1% +$535
XHR
471
Xenia Hotels & Resorts
XHR
$1.79B
$49K 0.01%
2,527
– –
AYI icon
472
Acuity Brands
AYI
$10.8B
$48K 0.01%
210
+73
+53% +$17.7K
EL icon
473
Estee Lauder
EL
$32B
$47K 0.01%
621
– –
IP icon
474
International Paper
IP
$22B
$47K 0.01%
953
– –
NWN icon
475
Northwest Natural Holdings
NWN
$2.12B
$47K 0.01%
800
– –
17 18
19
20 21

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Carroll Financial Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Carroll Financial Associates held 1,296 positions worth $701M, up 5.2% from $666M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

Carroll Financial Associates's Q4 2016 filing shows 50 new, 228 increased, 255 reduced and 65 closed positions. Its largest new stake was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K. The largest sale was Park Sterling Corp., an estimated $2.87M.

By sector, the portfolio is most concentrated in Financials at 9.5% of assets, up from 8.9% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q4 2016 buy was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q4 2016, an estimated $5.71M increase.
  • Carroll Financial Associates's biggest Q4 2016 reduction was Park Sterling Corp., cutting an estimated $2.87M.
  • Carroll Financial Associates fully exited PIEDMONT NATURAL GAS CO INC(NC in Q4 2016, selling an estimated $2.34M.
  • Carroll Financial Associates's ten largest holdings make up 46% of its $701M portfolio in Q4 2016.
  • Carroll Financial Associates opened 50 new positions and closed 65 in Q4 2016.
  • Carroll Financial Associates's portfolio value rose 5.2% quarter-over-quarter to $701M.

Based on Carroll Financial Associates's 13F filing for Q4 2016, filed 11 Jan 2017.