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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
+3.57%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$878M
AUM Growth
+$50.8M
Cap. Flow
+$12.8M
Cap. Flow %
1.46%
Top 10 Hldgs %
47.08%
Holding
1,346
New
83
Increased
259
Reduced
310
Closed
70

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$13.1M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$11.3M
3
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$6.91M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.07M
5
RTX icon
RTX Corp
RTX
+$4.07M

Top Sells

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$14.9M
2
DD icon
DuPont de Nemours
DD
+$7.88M
3
XIVH
VelocityShares VIX Short Volatility Hedged ETN
XIVH
+$3.8M
4
DD
Du Pont De Nemours E I
DD
+$1.5M
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$1.33M

Sector Composition

Rank Sector Weight
1 Financials 8.75%
2 Technology 5.53%
3 Healthcare 3.99%
4 Energy 3.84%
5 Industrials 3.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BTZ icon
476
BlackRock Credit Allocation Income Trust
BTZ
$956M
$53K 0.01%
4,000
– –
RACE icon
477
Ferrari
RACE
$72.5B
$53K 0.01%
470
-5,642
-92% -$601K
RDOG icon
478
ALPS REIT Dividend Dogs ETF
RDOG
$11.3M
$53K 0.01%
1,201
+5
+0.4% +$223
XHR
479
Xenia Hotels & Resorts
XHR
$1.79B
$53K 0.01%
2,527
– –
HSBC.PRA
480
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$53K 0.01%
2,040
– –
AVA icon
481
Avista
AVA
$3.24B
$52K 0.01%
1,000
– –
BLK icon
482
Blackrock
BLK
$176B
$52K 0.01%
112
-2
-2% -$854
CHTR icon
483
Charter Communications
CHTR
$18.2B
$52K 0.01%
141
-15
-10% -$5.58K
FTC icon
484
First Trust Large Cap Growth AlphaDEX Fund
FTC
$1.38B
$52K 0.01%
895
– –
NWN icon
485
Northwest Natural Holdings
NWN
$2.12B
$52K 0.01%
800
– –
AEG icon
486
Aegon
AEG
$14.1B
$51K 0.01%
11,487
-320
-3% -$1.45K
PEBK icon
487
Peoples Bancorp of North Carolina
PEBK
$229M
$50K 0.01%
1,515
– –
PKB icon
488
Invesco Building & Construction ETF
PKB
$453M
$50K 0.01%
1,600
– –
AOR icon
489
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.72B
$49K 0.01%
1,100
– –
CB icon
490
Chubb
CB
$135B
$49K 0.01%
342
-817
-70% -$118K
HYG icon
491
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.6B
$49K 0.01%
556
+5
+0.9% +$441
ING icon
492
ING
ING
$102B
$49K 0.01%
2,692
-315
-10% -$5.7K
LUV icon
493
Southwest Airlines
LUV
$23B
$49K 0.01%
845
+370
+78% +$20.8K
MA icon
494
Mastercard
MA
$493B
$49K 0.01%
344
– –
TSM icon
495
TSMC
TSM
$2.18T
$49K 0.01%
1,290
-136
-10% -$4.97K
BNS icon
496
Scotiabank
BNS
$108B
$48K 0.01%
750
– –
DFE icon
497
WisdomTree Europe SmallCap Dividend Fund
DFE
$169M
$48K 0.01%
700
– –
DOC icon
498
Healthpeak Properties
DOC
$14.8B
$48K 0.01%
1,800
– –
FXL icon
499
First Trust Technology AlphaDEX Fund
FXL
$2.79B
$48K 0.01%
1,000
– –
BEN icon
500
Franklin Resources
BEN
$17.2B
$47K 0.01%
1,056
– –
18 19
20
21 22

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Carroll Financial Associates's Q3 2017 Portfolio in Review

As of Q3 2017, Carroll Financial Associates held 1,346 positions worth $878M, up 6.1% from $827M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q3 2017 filing shows 83 new, 259 increased, 310 reduced and 70 closed positions. Its largest new stake was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M. The largest sale was iShares MSCI USA Momentum Factor ETF, an estimated $14.9M.

By sector, the portfolio is most concentrated in Financials at 8.7% of assets, down from 8.9% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2017 buy was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q3 2017, an estimated $13.1M increase.
  • Carroll Financial Associates's biggest Q3 2017 reduction was iShares MSCI USA Momentum Factor ETF, cutting an estimated $14.9M.
  • Carroll Financial Associates fully exited DuPont de Nemours in Q3 2017, selling an estimated $7.88M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $878M portfolio in Q3 2017.
  • Carroll Financial Associates opened 83 new positions and closed 70 in Q3 2017.
  • Carroll Financial Associates's portfolio value rose 6.1% quarter-over-quarter to $878M.

Based on Carroll Financial Associates's 13F filing for Q3 2017, filed 25 Oct 2017.