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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
+2.92%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$666M
AUM Growth
+$68.1M
Cap. Flow
+$54.1M
Cap. Flow %
8.12%
Top 10 Hldgs %
45.11%
Holding
1,312
New
70
Increased
326
Reduced
189
Closed
67

Top Buys

Rank Stock Value
1
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$16.4M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.6M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$3.36M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$2.45M
5
XOM icon
ExxonMobil
XOM
+$2.01M

Top Sells

Rank Stock Value
1
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.12M
2
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$945K
3
WT icon
WisdomTree
WT
+$765K
4
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$535K
5
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$516K

Sector Composition

Rank Sector Weight
1 Financials 8.9%
2 Technology 6.08%
3 Energy 4.49%
4 Healthcare 4.43%
5 Consumer Staples 4.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FBNC icon
476
First Bancorp
FBNC
$2.68B
$45K 0.01%
2,291
– –
FTC icon
477
First Trust Large Cap Growth AlphaDEX Fund
FTC
$1.38B
$45K 0.01%
895
– –
HYLS icon
478
First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF
HYLS
$1.64B
$45K 0.01%
+942
New +$45.7K
WTRE icon
479
WisdomTree New Economy Real Estate Fund
WTRE
$15.8M
$45K 0.01%
1,567
– –
YDKN
480
DELISTED
Yadkin Financial Corporation
YDKN
$45K 0.01%
1,734
-780
-31% -$20K
KNL
481
DELISTED
Knoll, Inc.
KNL
$45K 0.01%
2,000
– –
DLR icon
482
Digital Realty Trust
DLR
$71.7B
$44K 0.01%
457
– –
QUAL icon
483
iShares MSCI USA Quality Factor ETF
QUAL
$48.1B
$44K 0.01%
666
+361
+118% +$24.4K
WM icon
484
Waste Management
WM
$91B
$44K 0.01%
696
+229
+49% +$15K
BGC icon
485
BGC Group
BGC
$4.89B
$43K 0.01%
7,679
+38
+0.5% +$217
IP icon
486
International Paper
IP
$22B
$43K 0.01%
953
-1
-0.1% -$44
LMT icon
487
Lockheed Martin
LMT
$136B
$43K 0.01%
181
-118
-39% -$29.5K
SPG icon
488
Simon Property Group
SPG
$72.3B
$43K 0.01%
210
– –
JPS
489
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$42K 0.01%
4,382
+2,051
+88% +$19.6K
OAK
490
DELISTED
OAKTREE CAPITAL GROUP, LLC
OAK
$42K 0.01%
+1,000
New +$44.8K
MORL
491
DELISTED
ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN
MORL
$42K 0.01%
2,680
-6,820
-72% -$105K
AVA icon
492
Avista
AVA
$3.24B
$41K 0.01%
1,000
– –
CME icon
493
CME Group
CME
$94.8B
$41K 0.01%
400
+313
+360% +$32.7K
EPI icon
494
WisdomTree India Earnings Fund ETF
EPI
$2.06B
$41K 0.01%
1,922
– –
MTD icon
495
Mettler-Toledo International
MTD
$28.6B
$41K 0.01%
100
– –
PKB icon
496
Invesco Building & Construction ETF
PKB
$399M
$41K 0.01%
1,600
– –
REGN icon
497
Regeneron Pharmaceuticals
REGN
$80.8B
$41K 0.01%
102
– –
SU icon
498
Suncor Energy
SU
$70.3B
$41K 0.01%
1,502
+45
+3% +$1.23K
ISRG icon
499
Intuitive Surgical
ISRG
$134B
$40K 0.01%
504
– –
SNY icon
500
Sanofi
SNY
$104B
$40K 0.01%
1,064
– –
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 2016 Portfolio in Review

As of Q3 2016, Carroll Financial Associates held 1,312 positions worth $666M, up 11% from $598M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $54.1M of net new capital in Q3 2016, opening 70 new positions and adding to 326 existing holdings. Its largest new stake was iShares Russell 1000 ETF: 1,252 shares worth $150K.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, down from 9.3% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Xtrackers MSCI Europe Hedged Equity ETF, an estimated $2.12M trimmed.

  • Carroll Financial Associates's largest Q3 2016 buy was iShares Russell 1000 ETF: 1,252 shares worth $150K.
  • Carroll Financial Associates added most to Knowledge Leaders Developed World ETF in Q3 2016, an estimated $16.4M increase.
  • Carroll Financial Associates's biggest Q3 2016 reduction was Xtrackers MSCI Europe Hedged Equity ETF, cutting an estimated $2.12M.
  • Carroll Financial Associates fully exited UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN in Q3 2016, selling an estimated $945K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $666M portfolio in Q3 2016.
  • Carroll Financial Associates opened 70 new positions and closed 67 in Q3 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $666M.

Based on Carroll Financial Associates's 13F filing for Q3 2016, filed 11 Oct 2016.