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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
+5.33%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$480M
AUM Growth
+$29.3M
Cap. Flow
+$33.2M
Cap. Flow %
6.9%
Top 10 Hldgs %
43.82%
Holding
1,246
New
78
Increased
268
Reduced
227
Closed
63

Top Buys

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$13.4M
2
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$12.4M
3
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.78M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.38M
5
GPT
Gramercy Property Trust
GPT
+$3.09M

Top Sells

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$4.88M
2
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$3.95M
3
HTS
HATTERAS FINANCIAL CORP
HTS
+$2.22M
4
SE
Spectra Energy Corp Wi
SE
+$1.92M
5
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.58M

Sector Composition

Rank Sector Weight
1 Financials 11.29%
2 Technology 7.22%
3 Energy 5.11%
4 Consumer Staples 4.93%
5 Healthcare 4.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IBND icon
501
State Street SPDR Bloomberg International Corporate Bond ETF
IBND
$463M
$29K 0.01%
957
+117
+14% +$3.64K
NTES icon
502
NetEase
NTES
$84.7B
$29K 0.01%
820
+345
+73% +$10.7K
PDM
503
Piedmont Realty Trust
PDM
$1.19B
$29K 0.01%
1,572
– –
VGK icon
504
Vanguard FTSE Europe ETF
VGK
$31.1B
$29K 0.01%
596
– –
WM icon
505
Waste Management
WM
$91B
$29K 0.01%
559
– –
CHL
506
DELISTED
China Mobile Limited
CHL
$29K 0.01%
520
+124
+31% +$7.32K
BNS icon
507
Scotiabank
BNS
$108B
$28K 0.01%
715
-9
-1% -$388
FAF icon
508
First American
FAF
$7.58B
$28K 0.01%
800
– –
HDLS
509
DELISTED
WisdomTree International Hedged SmallCap Dividend Fund
HDLS
$28K 0.01%
1,251
+831
+198% +$19.2K
FBG
510
DELISTED
UBS AG LONDON BRH FISHER ENHANCED BIG CAP GROWTH ETN
FBG
$28K 0.01%
477
– –
AA icon
511
Alcoa
AA
$13.2B
$27K 0.01%
1,151
– –
BLE
512
DELISTED
BlackRock Municipal Income Trust II
BLE
$27K 0.01%
1,816
– –
HPQ icon
513
HP
HPQ
$27.5B
$27K 0.01%
2,301
-2,627
-53% -$33.6K
MSI icon
514
Motorola Solutions
MSI
$77.4B
$27K 0.01%
401
– –
PID icon
515
Invesco International Dividend Achievers ETF
PID
$919M
$27K 0.01%
2,000
– –
CHS
516
DELISTED
Chicos FAS, Inc.
CHS
$27K 0.01%
2,570
– –
AIG icon
517
American International
AIG
$41.3B
$26K 0.01%
429
-206
-32% -$12.6K
BXMX
518
DELISTED
Nuveen S&P 500 Buy-Write Income Fund
BXMX
$26K 0.01%
2,000
– –
CTSH icon
519
Cognizant
CTSH
$26B
$26K 0.01%
447
+25
+6% +$1.61K
DIA icon
520
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$48.5B
$26K 0.01%
150
– –
EGBN icon
521
Eagle Bancorp
EGBN
$845M
$26K 0.01%
530
– –
EWA icon
522
iShares MSCI Australia ETF
EWA
$1.48B
$26K 0.01%
1,403
– –
HBAN icon
523
Huntington Bancshares
HBAN
$35.5B
$26K 0.01%
2,377
– –
KR icon
524
Kroger
KR
$34.8B
$26K 0.01%
640
– –
LM
525
DELISTED
Legg Mason, Inc.
LM
$26K 0.01%
+684
New +$29.3K
19 20
21
22 23

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TU
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NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

Carroll Financial Associates's Q4 2015 Portfolio in Review

As of Q4 2015, Carroll Financial Associates held 1,246 positions worth $480M, up 6.5% from $451M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $33.2M of net new capital in Q4 2015, opening 78 new positions and adding to 268 existing holdings. Its largest new stake was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was JP Morgan Alerian MLP Index ETN 5/24/24, an estimated $4.88M trimmed.

  • Carroll Financial Associates's largest Q4 2015 buy was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q4 2015, an estimated $13.4M increase.
  • Carroll Financial Associates's biggest Q4 2015 reduction was JP Morgan Alerian MLP Index ETN 5/24/24, cutting an estimated $4.88M.
  • Carroll Financial Associates fully exited CHAMBERS STR PPTYS COM in Q4 2015, selling an estimated $1.58M.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $480M portfolio in Q4 2015.
  • Carroll Financial Associates opened 78 new positions and closed 63 in Q4 2015.
  • Carroll Financial Associates's portfolio value rose 6.5% quarter-over-quarter to $480M.

Based on Carroll Financial Associates's 13F filing for Q4 2015, filed 12 Jan 2016.