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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
IWO icon
526
iShares Russell 2000 Growth ETF
IWO
$15B
$36K 0.01%
242
+201
+490% +$29.3K
NVO
527
Novo Nordisk
NVO
$209B
$36K 0.01%
1,740
-48
-3% -$1.19K
PCG icon
528
PG&E
PCG
$38.5B
$36K 0.01%
596
+181
+44% +$11.5K
AFSI
529
DELISTED
AmTrust Financial Services, Inc.
AFSI
$36K 0.01%
1,368
– –
AEO icon
530
American Eagle Outfitters
AEO
$3.01B
$35K 0.01%
2,000
– –
EQR icon
531
Equity Residential
EQR
$25.1B
$35K 0.01%
556
– –
HR icon
532
Healthcare Realty
HR
$6.84B
$35K 0.01%
1,100
– –
HUM icon
533
Humana
HUM
$46.2B
$35K 0.01%
200
– –
MA icon
534
Mastercard
MA
$493B
$35K 0.01%
350
+51
+17% +$4.89K
MS icon
535
Morgan Stanley
MS
$340B
$35K 0.01%
1,097
-2
-0.2% -$60
VDE icon
536
Vanguard Energy ETF
VDE
$9.84B
$35K 0.01%
361
+132
+58% +$12.5K
DCP
537
DELISTED
DCP Midstream, LP
DCP
$35K 0.01%
1,000
– –
STH
538
DELISTED
SABRIENT STEALTH PRT CLAYMORE EXCH TRD FD
STH
$35K 0.01%
1,268
-70
-5% -$1.93K
KR icon
539
Kroger
KR
$34.8B
$34K 0.01%
1,178
+538
+84% +$17.9K
XLRE icon
540
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.65B
$34K 0.01%
+1,052
New +$35.3K
LSXMK
541
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
$34K 0.01%
+1,352
New +$34.2K
ADSK icon
542
Autodesk
ADSK
$52.6B
$33K 0.01%
458
+195
+74% +$12.3K
CTSH icon
543
Cognizant
CTSH
$26B
$33K 0.01%
702
– –
DHS icon
544
WisdomTree US High Dividend Fund
DHS
$1.58B
$33K 0.01%
510
– –
GVI icon
545
iShares Intermediate Government/Credit Bond ETF
GVI
$3.8B
$33K 0.01%
300
– –
IEV icon
546
iShares Europe ETF
IEV
$1.7B
$33K 0.01%
840
+620
+282% +$24.1K
IXN icon
547
iShares Global Tech ETF
IXN
$9.26B
$33K 0.01%
1,830
+300
+20% +$5.3K
PBI icon
548
Pitney Bowes
PBI
$2.39B
$33K 0.01%
1,838
+1,025
+126% +$18.8K
TCRT icon
549
Alaunos Therapeutics
TCRT
$4.86M
$33K 0.01%
40
– –
BSCG
550
DELISTED
Guggenheim BulletShares 2016 Corporate Bond ETF
BSCG
$33K 0.01%
+1,526
New +$33.7K
20 21
22
23 24

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RFA
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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.