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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
SPXC icon
476
SPX Corp
SPXC
$10.8B
$18K 0.01%
794
– –
CIT
477
DELISTED
CIT Group Inc.
CIT
$18K 0.01%
384
-6
-2% -$284
FWONA icon
478
Liberty Media Series A
FWONA
$23.6B
$17K 0.01%
939
-1,853
-66% -$45.5K
MDU icon
479
MDU Resources
MDU
$4.32B
$17K 0.01%
1,775
– –
MSI icon
480
Motorola Solutions
MSI
$77.4B
$17K 0.01%
282
– –
SLV icon
481
iShares Silver Trust
SLV
$30.9B
$17K 0.01%
1,167
-30
-3% -$567
BRCM
482
DELISTED
BROADCOM CORP CL-A
BRCM
$17K 0.01%
427
-20
-4% -$777
BRW
483
Saba Capital Income & Opportunities Fund
BRW
$339M
$16K ﹤0.01%
1,580
– –
CAR icon
484
Avis
CAR
$5.02B
$16K ﹤0.01%
293
+223
+319% +$13.9K
FFC
485
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$16K ﹤0.01%
800
– –
GT icon
486
Goodyear
GT
$1.85B
$16K ﹤0.01%
655
– –
KLAC icon
487
KLA
KLAC
$259B
$16K ﹤0.01%
2,000
– –
MA icon
488
Mastercard
MA
$493B
$16K ﹤0.01%
195
– –
NAT icon
489
Nordic American Tanker
NAT
$1.37B
$16K ﹤0.01%
2,037
-29
-1% -$253
UUP icon
490
Invesco DB US Dollar Index Bullish Fund
UUP
$413M
$16K ﹤0.01%
700
– –
VGK icon
491
Vanguard FTSE Europe ETF
VGK
$31.1B
$16K ﹤0.01%
296
– –
MRO
492
DELISTED
Marathon Oil Corporation
MRO
$16K ﹤0.01%
497
+400
+412% +$15.9K
DISCK
493
DELISTED
Discovery, Inc. Series C Common Stock
DISCK
$16K ﹤0.01%
519
+173
+50% +$7K
PRE
494
DELISTED
PARTNERRE LTD
PRE
$16K ﹤0.01%
144
– –
CMG icon
495
Chipotle Mexican Grill
CMG
$41.5B
$15K ﹤0.01%
1,150
– –
EA
496
DELISTED
Electronic Arts
EA
$15K ﹤0.01%
377
– –
GWW icon
497
W.W. Grainger
GWW
$60.2B
$15K ﹤0.01%
63
– –
IOO icon
498
iShares Global 100 ETF
IOO
$9.5B
$15K ﹤0.01%
406
-98,450
-100% -$3.86M
M icon
499
Macy's
M
$6.68B
$15K ﹤0.01%
265
-10
-4% -$593
NVO
500
Novo Nordisk
NVO
$209B
$15K ﹤0.01%
690
+440
+176% +$10.1K
18 19
20
21 22

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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 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.