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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
VIAB
526
DELISTED
Viacom Inc. Class B
VIAB
$26K 0.01%
651
– –
AGU
527
DELISTED
Agrium
AGU
$26K 0.01%
300
– –
BCS.PRC
528
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$26K 0.01%
1,000
– –
SNDS
529
DELISTED
SUSTAINABLE NORTH AMERICAN OIL SANDS ETF
SNDS
$26K 0.01%
1,500
-1,900
-56% -$32.9K
CINF icon
530
Cincinnati Financial
CINF
$27.1B
$25K 0.01%
431
– –
DIV icon
531
Global X SuperDividend US ETF
DIV
$783M
$25K 0.01%
1,073
– –
GT icon
532
Goodyear
GT
$1.85B
$25K 0.01%
791
+136
+21% +$4.46K
ICE icon
533
Intercontinental Exchange
ICE
$84.4B
$25K 0.01%
495
-110
-18% -$5.53K
MIN
534
Aberdeen Intermediate Income Fund
MIN
$278M
$25K 0.01%
5,500
– –
NFJ
535
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.43B
$25K 0.01%
2,068
– –
SXT icon
536
Sensient Technologies
SXT
$5.53B
$25K 0.01%
400
– –
XLB icon
537
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$25K 0.01%
1,166
– –
ETP
538
DELISTED
Energy Transfer Partners, L.P.
ETP
$25K 0.01%
1,000
– –
WGL
539
DELISTED
Wgl Holdings
WGL
$25K 0.01%
+400
New +$24.4K
AMLP icon
540
Alerian MLP ETF
AMLP
$13.1B
$24K 0.01%
410
-502
-55% -$31.4K
ESGR
541
DELISTED
Enstar Group
ESGR
$24K 0.01%
165
+120
+267% +$18.5K
IXJ icon
542
iShares Global Healthcare ETF
IXJ
$4.19B
$24K 0.01%
484
– –
JEF icon
543
Jefferies Financial Group
JEF
$13.1B
$24K 0.01%
1,567
– –
VMO icon
544
Invesco Municipal Opportunity Trust
VMO
$663M
$24K 0.01%
1,829
– –
WPP icon
545
WPP
WPP
$5.94B
$24K 0.01%
213
– –
ROIC
546
DELISTED
Retail Opportunity Investments Corp.
ROIC
$24K 0.01%
1,350
– –
DCP
547
DELISTED
DCP Midstream, LP
DCP
$24K 0.01%
1,000
– –
SYKE
548
DELISTED
SYKES Enterprises Inc
SYKE
$24K 0.01%
800
+500
+167% +$14.9K
CSC
549
DELISTED
Computer Sciences
CSC
$24K 0.01%
750
-1,030
-58% -$30.1K
DVA icon
550
DaVita
DVA
$11.7B
$23K ﹤0.01%
344
+230
+202% +$16.8K
20 21
22
23 24

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NFG
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6M
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RFA
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CCT
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C
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CC
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RM
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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.