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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
+0.1%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$324M
AUM Growth
-$33.2M
Cap. Flow
-$39.8M
Cap. Flow %
-12.28%
Top 10 Hldgs %
40.98%
Holding
1,053
New
82
Increased
100
Reduced
249
Closed
124

Top Buys

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.19M
2
RCAP
RCS CAPITAL CORPORATION CLASS A COM
RCAP
+$1.32M
3
BBRC
Columbia Beyond BRICs ETF
BBRC
+$1.21M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$617K
5
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$474K

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.83M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.43M
3
IOO icon
iShares Global 100 ETF
IOO
+$3.86M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.88M
5
FEZ icon
State Street SPDR EURO STOXX 50 ETF
FEZ
+$2.34M

Sector Composition

Rank Sector Weight
1 Financials 12.76%
2 Technology 10.02%
3 Energy 8.24%
4 Healthcare 6.21%
5 Industrials 4.9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VRTX icon
526
Vertex Pharmaceuticals
VRTX
$126B
$13K ﹤0.01%
118
– –
GGP
527
DELISTED
GGP Inc.
GGP
$13K ﹤0.01%
517
– –
AMG icon
528
Affiliated Managers Group
AMG
$9.76B
$12K ﹤0.01%
65
– –
CCL icon
529
Carnival Corporation Ltd
CCL
$39.7B
$12K ﹤0.01%
300
– –
EEM icon
530
iShares MSCI Emerging Markets ETF
EEM
$29.5B
$12K ﹤0.01%
300
-449
-60% -$19.9K
KRG icon
531
Kite Realty
KRG
$5.36B
$12K ﹤0.01%
+469
New +$11.9K
NVRI icon
532
Enviri
NVRI
$620M
$12K ﹤0.01%
598
– –
XNTK icon
533
State Street SPDR NYSE Technology ETF
XNTK
$2.23B
$12K ﹤0.01%
258
-342
-57% -$16.6K
OMCC
534
DELISTED
Old Market Capital Corp
OMCC
$12K ﹤0.01%
992
– –
ERF
535
DELISTED
Enerplus Corporation
ERF
$12K ﹤0.01%
+800
New +$17.5K
STRZA
536
DELISTED
Starz - Series A
STRZA
$12K ﹤0.01%
392
-18
-4% -$539
UN
537
DELISTED
Unilever NV New York Registry Shares
UN
$12K ﹤0.01%
329
– –
ETW
538
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
$1.06B
$11K ﹤0.01%
950
– –
LBTYA icon
539
Liberty Global Class A
LBTYA
$3.6B
$11K ﹤0.01%
310
– –
NWS icon
540
News Corp Class B
NWS
$17.5B
$11K ﹤0.01%
775
– –
PFG icon
541
Principal Financial Group
PFG
$24.3B
$11K ﹤0.01%
222
– –
TCPC icon
542
BlackRock TCP Capital
TCPC
$345M
$11K ﹤0.01%
650
– –
TNL icon
543
Travel + Leisure Co
TNL
$4.7B
$11K ﹤0.01%
310
– –
VPL icon
544
Vanguard FTSE Pacific ETF
VPL
$8.43B
$11K ﹤0.01%
193
– –
XLP icon
545
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.9B
$11K ﹤0.01%
+241
New +$10.8K
NPI
546
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
$11K ﹤0.01%
820
+2
+0.2% +$27
ADEP
547
DELISTED
Adept Technology Inc
ADEP
$11K ﹤0.01%
1,300
– –
HOT
548
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
$11K ﹤0.01%
154
– –
CHL
549
DELISTED
China Mobile Limited
CHL
$11K ﹤0.01%
196
– –
ANSS
550
DELISTED
Ansys
ANSS
$10K ﹤0.01%
129
-11
-8% -$863
20 21
22
23 24

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Carroll Financial Associates's Q3 2014 Portfolio in Review

As of Q3 2014, Carroll Financial Associates held 1,053 positions worth $324M, down 9.3% from $357M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Carroll Financial Associates withdrew a net $39.8M in Q3 2014, closing 124 positions and reducing 249 holdings. Its most notable exit was Atlantic Union Bankshares, an estimated $872K position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 12% a quarter earlier, followed by Technology and Energy.

Against the trend, Carroll Financial Associates opened a new position in Invesco S&P 500 Downside Hedged ETF worth $7.45M.

  • Carroll Financial Associates's largest Q3 2014 buy was Invesco S&P 500 Downside Hedged ETF: 251,160 shares worth $7.45M.
  • Carroll Financial Associates added most to Columbia Beyond BRICs ETF in Q3 2014, an estimated $1.21M increase.
  • Carroll Financial Associates's biggest Q3 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.83M.
  • Carroll Financial Associates fully exited Atlantic Union Bankshares in Q3 2014, selling an estimated $872K.
  • Carroll Financial Associates's ten largest holdings make up 41% of its $324M portfolio in Q3 2014.
  • Carroll Financial Associates opened 82 new positions and closed 124 in Q3 2014.
  • Carroll Financial Associates's portfolio value fell 9.3% quarter-over-quarter to $324M.

Based on Carroll Financial Associates's 13F filing for Q3 2014, filed 13 Nov 2014.