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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
-7.01%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$451M
AUM Growth
+$4.05M
Cap. Flow
+$19M
Cap. Flow %
4.21%
Top 10 Hldgs %
41.98%
Holding
1,252
New
121
Increased
384
Reduced
193
Closed
84

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.52M
2
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$2.56M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.18M
4
TREE icon
LendingTree
TREE
+$1.57M
5
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$1.53M

Top Sells

Rank Stock Value
1
BBRC
Columbia Beyond BRICs ETF
BBRC
+$5.39M
2
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$4.09M
3
OCSL icon
Oaktree Specialty Lending
OCSL
+$1.36M
4
DGRE icon
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
+$861K
5
BAX icon
Baxter International
BAX
+$815K

Sector Composition

Rank Sector Weight
1 Financials 11.5%
2 Technology 7.62%
3 Energy 5.42%
4 Healthcare 5.01%
5 Consumer Staples 4.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TWC
501
DELISTED
TIME WARNER CABLE INC NEW COM STK
TWC
$29K 0.01%
163
– –
OIL
502
DELISTED
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
$29K 0.01%
3,500
– –
AYI icon
503
Acuity Brands
AYI
$10.8B
$28K 0.01%
137
+5
+4% +$972
ICE icon
504
Intercontinental Exchange
ICE
$84.4B
$28K 0.01%
605
-20
-3% -$926
JNK icon
505
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.31B
$28K 0.01%
258
+137
+113% +$15.3K
DCP
506
DELISTED
DCP Midstream, LP
DCP
$28K 0.01%
1,000
– –
ETP
507
DELISTED
Energy Transfer Partners, L.P.
ETP
$28K 0.01%
1,000
+200
+25% +$6.79K
CTSH icon
508
Cognizant
CTSH
$26B
$27K 0.01%
422
+48
+13% +$3.01K
DIV icon
509
Global X SuperDividend US ETF
DIV
$783M
$27K 0.01%
1,073
– –
ISRG icon
510
Intuitive Surgical
ISRG
$134B
$27K 0.01%
504
– –
JEF icon
511
Jefferies Financial Group
JEF
$13.1B
$27K 0.01%
1,567
– –
MS icon
512
Morgan Stanley
MS
$340B
$27K 0.01%
888
+32
+4% +$1.17K
MSI icon
513
Motorola Solutions
MSI
$77.4B
$27K 0.01%
401
+9
+2% +$567
NFJ
514
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.43B
$27K 0.01%
2,068
-1
-0% -$14
TIPZ icon
515
PIMCO Broad US TIPS Index Exchange-Traded Fund
TIPZ
$88.4M
$27K 0.01%
490
+65
+15% +$3.67K
AGU
516
DELISTED
Agrium
AGU
$27K 0.01%
300
– –
BRCM
517
DELISTED
BROADCOM CORP CL-A
BRCM
$27K 0.01%
540
– –
FBG
518
DELISTED
UBS AG LONDON BRH FISHER ENHANCED BIG CAP GROWTH ETN
FBG
$27K 0.01%
477
– –
BLE
519
DELISTED
BlackRock Municipal Income Trust II
BLE
$26K 0.01%
1,816
– –
EWA icon
520
iShares MSCI Australia ETF
EWA
$1.48B
$26K 0.01%
1,403
– –
IBND icon
521
State Street SPDR Bloomberg International Corporate Bond ETF
IBND
$463M
$26K 0.01%
+840
New +$26.4K
IYE icon
522
iShares US Energy ETF
IYE
$1.7B
$26K 0.01%
+710
New +$26.8K
BCS.PRC
523
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$26K 0.01%
1,000
– –
SI
524
DELISTED
SIEMENS AKTIENGESELLSCHAFT ADS
SI
$26K 0.01%
273
+200
+274% +$19K
AA icon
525
Alcoa
AA
$13.2B
$25K 0.01%
1,151
+39
+4% +$913
19 20
21
22 23

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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 2015 Portfolio in Review

As of Q3 2015, Carroll Financial Associates held 1,252 positions worth $451M, up 0.91% from $447M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Carroll Financial Associates deployed $19M of net new capital in Q3 2015, opening 121 new positions and adding to 384 existing holdings. Its largest new stake was PacWest Bancorp: 21,542 shares worth $926K.

By sector, the portfolio is most concentrated in Financials at 12% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Columbia Beyond BRICs ETF, an estimated $5.39M trimmed.

  • Carroll Financial Associates's largest Q3 2015 buy was PacWest Bancorp: 21,542 shares worth $926K.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q3 2015, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q3 2015 reduction was Columbia Beyond BRICs ETF, cutting an estimated $5.39M.
  • Carroll Financial Associates fully exited KRAFT FOODS GROUP INC COM STK (VA) in Q3 2015, selling an estimated $475K.
  • Carroll Financial Associates's ten largest holdings make up 42% of its $451M portfolio in Q3 2015.
  • Carroll Financial Associates opened 121 new positions and closed 84 in Q3 2015.
  • Carroll Financial Associates's portfolio value rose 0.91% quarter-over-quarter to $451M.

Based on Carroll Financial Associates's 13F filing for Q3 2015, filed 28 Oct 2015.