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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
BT
501
DELISTED
BT Group plc (ADR)
BT
$40K 0.01%
1,600
– –
LGF
502
DELISTED
Lions Gate Entertainment
LGF
$40K 0.01%
2,022
– –
BNS icon
503
Scotiabank
BNS
$108B
$39K 0.01%
750
– –
ECL icon
504
Ecolab
ECL
$79.9B
$39K 0.01%
328
– –
TT icon
505
Trane Technologies
TT
$106B
$39K 0.01%
583
+160
+38% +$10.7K
CSC
506
DELISTED
Computer Sciences
CSC
$39K 0.01%
750
– –
BEN icon
507
Franklin Resources
BEN
$17.2B
$38K 0.01%
1,077
– –
DFE icon
508
WisdomTree Europe SmallCap Dividend Fund
DFE
$169M
$38K 0.01%
700
– –
FE icon
509
FirstEnergy
FE
$27.5B
$38K 0.01%
1,163
– –
FTV icon
510
Fortive
FTV
$18.6B
$38K 0.01%
+1,205
New +$38.7K
FXH icon
511
First Trust Health Care AlphaDEX Fund
FXH
$1.08B
$38K 0.01%
640
+350
+121% +$21.3K
IXJ icon
512
iShares Global Healthcare ETF
IXJ
$4.18B
$38K 0.01%
758
– –
XHR
513
Xenia Hotels & Resorts
XHR
$1.79B
$38K 0.01%
2,527
+552
+28% +$9.35K
XOP icon
514
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.51B
$38K 0.01%
250
– –
RAD
515
DELISTED
Rite Aid Corporation
RAD
$38K 0.01%
253
– –
CDK
516
DELISTED
CDK Global, Inc.
CDK
$38K 0.01%
677
– –
DBA icon
517
Invesco DB Agriculture Fund
DBA
$1.23B
$37K 0.01%
1,900
– –
ING icon
518
ING
ING
$102B
$37K 0.01%
3,007
– –
DBD
519
DELISTED
Diebold Nixdorf Incorporated
DBD
$37K 0.01%
1,500
– –
DATA
520
DELISTED
Tableau Software, Inc.
DATA
$37K 0.01%
675
-679
-50% -$37.4K
XIV
521
DELISTED
VelocityShares Daily Inverse VIX Short Term ETN
XIV
$37K 0.01%
1,000
+350
+54% +$12K
AIG icon
522
American International
AIG
$41.3B
$36K 0.01%
611
+137
+29% +$7.83K
AYI icon
523
Acuity Brands
AYI
$10.8B
$36K 0.01%
137
– –
DG icon
524
Dollar General
DG
$27.9B
$36K 0.01%
516
-18
-3% -$1.52K
FXL icon
525
First Trust Technology AlphaDEX Fund
FXL
$2.79B
$36K 0.01%
+1,000
New +$35.3K
19 20
21
22 23

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TU
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NFG
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6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
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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 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.