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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
+79.91%
5 Year Est. Return
+101.11%
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
DUK icon
26
Duke Energy
DUK
$96.2B
$2.58M 0.79%
31,190
-17,408
-36% -$1.27M
IVV icon
27
iShares Core S&P 500 ETF
IVV
$898B
$2.5M 0.77%
12,177
+48
+0.4% +$9.55K
MLPI
28
DELISTED
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
$2.47M 0.76%
57,025
-7,450
-12% -$332K
BSJI
29
DELISTED
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
$2.27M 0.7%
85,120
-2,750
-3% -$74.5K
ADP icon
30
Automatic Data Processing
ADP
$107B
$2.26M 0.7%
30,261
-6,208
-17% -$448K
PKW icon
31
Invesco BuyBack Achievers ETF
PKW
$1.76B
$2.24M 0.69%
48,080
+5,180
+12% +$234K
BNY
32
Bank of New York Mellon
BNY
$108B
$2.13M 0.66%
53,932
-6,730
-11% -$262K
CVX icon
33
Chevron
CVX
$371B
$2.06M 0.64%
17,441
+2,925
+20% +$373K
WFC icon
34
Wells Fargo
WFC
$270B
$1.93M 0.6%
36,083
-4,606
-11% -$237K
FMLP
35
DELISTED
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
$1.93M 0.59%
82,600
+19,200
+30% +$474K
PG icon
36
Procter & Gamble
PG
$342B
$1.87M 0.58%
20,891
-7,920
-27% -$649K
MMM icon
37
3M
MMM
$93.9B
$1.81M 0.56%
13,771
-2,764
-17% -$332K
QCOM icon
38
Qualcomm
QCOM
$165B
$1.8M 0.55%
25,812
-1,930
-7% -$148K
BAC icon
39
Bank of America
BAC
$442B
$1.76M 0.54%
101,775
-79
-0.1% -$1.26K
HRL icon
40
Hormel Foods
HRL
$13.9B
$1.76M 0.54%
64,228
– –
SYY icon
41
Sysco
SYY
$40.3B
$1.75M 0.54%
45,444
-6,525
-13% -$244K
CSCO icon
42
Cisco
CSCO
$479B
$1.68M 0.52%
66,801
-10,799
-14% -$272K
NUE icon
43
Nucor
NUE
$62.6B
$1.65M 0.51%
30,905
-2,996
-9% -$158K
CSX icon
44
CSX Corp
CSX
$94.7B
$1.65M 0.51%
134,598
-9,150
-6% -$94.4K
TFC icon
45
Truist Financial
TFC
$64.6B
$1.5M 0.46%
39,178
-31,847
-45% -$1.2M
PFM icon
46
Invesco Dividend Achievers ETF
PFM
$805M
$1.49M 0.46%
68,955
-14,345
-17% -$301K
MCD icon
47
McDonald's
MCD
$195B
$1.34M 0.41%
14,103
+1
+0% +$95
PEP icon
48
PepsiCo
PEP
$189B
$1.34M 0.41%
13,863
-7,473
-35% -$682K
UPS icon
49
United Parcel Service
UPS
$91.5B
$1.26M 0.39%
11,615
+125
+1% +$12.4K
VEU icon
50
Vanguard FTSE All-World ex-US ETF
VEU
$68B
$1.24M 0.38%
25,507
– –
1
2
3 4 5

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TU
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NFG
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6M
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RFA
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CCT
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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.