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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
+5.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$785M
AUM Growth
+$84M
Cap. Flow
+$49.3M
Cap. Flow %
6.28%
Top 10 Hldgs %
45.22%
Holding
1,307
New
75
Increased
250
Reduced
239
Closed
52

Top Buys

Rank Stock Value
1
ENB icon
Enbridge
ENB
+$5.57M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$5.52M
3
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$5.48M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.65M
5
AXP icon
American Express
AXP
+$3.41M

Top Sells

Rank Stock Value
1
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.59M
2
SE
Spectra Energy Corp Wi
SE
+$3.64M
3
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$1.34M
4
VIIX
VelocityShares VIX Short Term ETN
VIIX
+$779K
5
LOB icon
Live Oak Bancshares
LOB
+$752K

Sector Composition

Rank Sector Weight
1 Financials 9.12%
2 Technology 5.75%
3 Energy 4.37%
4 Healthcare 4.06%
5 Industrials 3.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LSXMK
526
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
$39K 0.01%
1,335
– –
DCP
527
DELISTED
DCP Midstream, LP
DCP
$39K 0.01%
1,000
– –
ETP
528
DELISTED
Energy Transfer Partners L.p.
ETP
$39K 0.01%
1,075
– –
IWS icon
529
iShares Russell Mid-Cap Value ETF
IWS
$16B
$38K ﹤0.01%
459
– –
MA icon
530
Mastercard
MA
$493B
$38K ﹤0.01%
344
-6
-2% -$658
OLLI icon
531
Ollie's Bargain Outlet
OLLI
$4.94B
$38K ﹤0.01%
+1,150
New +$36.2K
TCRT icon
532
Alaunos Therapeutics
TCRT
$4.86M
$38K ﹤0.01%
40
– –
DBA icon
533
Invesco DB Agriculture Fund
DBA
$1.23B
$37K ﹤0.01%
1,900
– –
NAD icon
534
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$37K ﹤0.01%
2,720
– –
VAW icon
535
Vanguard Materials ETF
VAW
$3.13B
$37K ﹤0.01%
315
+12
+4% +$1.42K
XOP icon
536
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.51B
$37K ﹤0.01%
250
– –
COHR icon
537
Coherent
COHR
$74.2B
$36K ﹤0.01%
+1,000
New +$35.3K
FTV icon
538
Fortive
FTV
$18.6B
$36K ﹤0.01%
967
– –
QRVO icon
539
Qorvo
QRVO
$8.74B
$36K ﹤0.01%
537
– –
CHS
540
DELISTED
Chicos FAS, Inc.
CHS
$36K ﹤0.01%
2,570
– –
STH
541
DELISTED
SABRIENT STEALTH PRT CLAYMORE EXCH TRD FD
STH
$36K ﹤0.01%
1,222
-41
-3% -$1.21K
CHI
542
Calamos Convertible Opportunities and Income Fund
CHI
$1.05B
$35K ﹤0.01%
+3,250
New +$35K
WTRG icon
543
Essential Utilities
WTRG
$11.4B
$35K ﹤0.01%
1,098
+652
+146% +$20K
EQR icon
544
Equity Residential
EQR
$25.1B
$34K ﹤0.01%
556
– –
FISV
545
Fiserv Inc
FISV
$27.9B
$34K ﹤0.01%
596
+96
+19% +$5.39K
HBAN icon
546
Huntington Bancshares
HBAN
$35.5B
$34K ﹤0.01%
2,573
– –
HR icon
547
Healthcare Realty
HR
$6.84B
$34K ﹤0.01%
1,100
– –
ITT icon
548
ITT
ITT
$19.1B
$34K ﹤0.01%
850
– –
KR icon
549
Kroger
KR
$34.8B
$34K ﹤0.01%
1,178
– –
CDK
550
DELISTED
CDK Global, Inc.
CDK
$34K ﹤0.01%
531
– –
20 21
22
23 24

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Carroll Financial Associates's Q1 2017 Portfolio in Review

As of Q1 2017, Carroll Financial Associates held 1,307 positions worth $785M, up 12% from $701M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $49.3M of net new capital in Q1 2017, opening 75 new positions and adding to 250 existing holdings. Its largest new stake was Enbridge: 131,920 shares worth $5.52M.

By sector, the portfolio is most concentrated in Financials at 9.1% of assets, down from 9.5% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, an estimated $5.59M trimmed.

  • Carroll Financial Associates's largest Q1 2017 buy was Enbridge: 131,920 shares worth $5.52M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q1 2017, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q1 2017 reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, cutting an estimated $5.59M.
  • Carroll Financial Associates fully exited Spectra Energy Corp Wi in Q1 2017, selling an estimated $3.64M.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $785M portfolio in Q1 2017.
  • Carroll Financial Associates opened 75 new positions and closed 52 in Q1 2017.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $785M.

Based on Carroll Financial Associates's 13F filing for Q1 2017, filed 11 Apr 2017.