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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
+5.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$785M
AUM Growth
+$84M
Cap. Flow
+$49.3M
Cap. Flow %
6.28%
Top 10 Hldgs %
45.22%
Holding
1,307
New
75
Increased
250
Reduced
239
Closed
52

Top Buys

Rank Stock Value
1
ENB icon
Enbridge
ENB
+$5.57M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$5.52M
3
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$5.48M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.65M
5
AXP icon
American Express
AXP
+$3.41M

Top Sells

Rank Stock Value
1
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.59M
2
SE
Spectra Energy Corp Wi
SE
+$3.64M
3
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$1.34M
4
VIIX
VelocityShares VIX Short Term ETN
VIIX
+$779K
5
LOB icon
Live Oak Bancshares
LOB
+$752K

Sector Composition

Rank Sector Weight
1 Financials 9.12%
2 Technology 5.75%
3 Energy 4.37%
4 Healthcare 4.06%
5 Industrials 3.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RDOG icon
476
ALPS REIT Dividend Dogs ETF
RDOG
$11.3M
$51K 0.01%
1,193
+8
+0.7% +$341
WAT icon
477
Waters Corp
WAT
$39.9B
$51K 0.01%
330
-35
-10% -$5.23K
WM icon
478
Waste Management
WM
$91B
$51K 0.01%
704
– –
CSC
479
DELISTED
Computer Sciences
CSC
$51K 0.01%
750
– –
QEP
480
DELISTED
QEP RESOURCES, INC.
QEP
$50K 0.01%
4,000
– –
ALK icon
481
Alaska Air
ALK
$5.58B
$48K 0.01%
+528
New +$50K
CC icon
482
Chemours
CC
$2.37B
$48K 0.01%
1,255
+1,010
+412% +$30.4K
DLR icon
483
Digital Realty Trust
DLR
$71.7B
$48K 0.01%
457
– –
DVN icon
484
Devon Energy
DVN
$47.3B
$48K 0.01%
1,171
– –
JWN
485
DELISTED
Nordstrom
JWN
$48K 0.01%
1,031
– –
AEG icon
486
Aegon
AEG
$14.1B
$47K 0.01%
12,144
+8,548
+238% +$36.3K
FTC icon
487
First Trust Large Cap Growth AlphaDEX Fund
FTC
$1.38B
$47K 0.01%
895
– –
MS icon
488
Morgan Stanley
MS
$340B
$47K 0.01%
1,102
+2
+0.2% +$89
MTD icon
489
Mettler-Toledo International
MTD
$28.6B
$47K 0.01%
100
– –
NWN icon
490
Northwest Natural Holdings
NWN
$2.12B
$47K 0.01%
800
– –
WU icon
491
Western Union
WU
$2.21B
$47K 0.01%
2,312
+3
+0.1% +$61
KNL
492
DELISTED
Knoll, Inc.
KNL
$47K 0.01%
2,000
– –
AOR icon
493
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.72B
$46K 0.01%
1,100
– –
AYI icon
494
Acuity Brands
AYI
$10.8B
$46K 0.01%
226
+16
+8% +$3.38K
HYLS icon
495
First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF
HYLS
$1.63B
$46K 0.01%
942
– –
PKB icon
496
Invesco Building & Construction ETF
PKB
$453M
$46K 0.01%
1,600
– –
DBD
497
DELISTED
Diebold Nixdorf Incorporated
DBD
$46K 0.01%
1,525
+25
+2% +$706
ING icon
498
ING
ING
$102B
$45K 0.01%
3,007
– –
MAR icon
499
Marriott International
MAR
$92.3B
$45K 0.01%
480
+1
+0.2% +$87
BEN icon
500
Franklin Resources
BEN
$17.2B
$44K 0.01%
1,056
– –
18 19
20
21 22

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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 Q1 2017 Portfolio in Review

As of Q1 2017, Carroll Financial Associates held 1,307 positions worth $785M, up 12% from $701M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $49.3M of net new capital in Q1 2017, opening 75 new positions and adding to 250 existing holdings. Its largest new stake was Enbridge: 131,920 shares worth $5.52M.

By sector, the portfolio is most concentrated in Financials at 9.1% of assets, down from 9.5% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, an estimated $5.59M trimmed.

  • Carroll Financial Associates's largest Q1 2017 buy was Enbridge: 131,920 shares worth $5.52M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q1 2017, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q1 2017 reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, cutting an estimated $5.59M.
  • Carroll Financial Associates fully exited Spectra Energy Corp Wi in Q1 2017, selling an estimated $3.64M.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $785M portfolio in Q1 2017.
  • Carroll Financial Associates opened 75 new positions and closed 52 in Q1 2017.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $785M.

Based on Carroll Financial Associates's 13F filing for Q1 2017, filed 11 Apr 2017.