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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
ASH icon
551
Ashland
ASH
$3.5B
$10K ﹤0.01%
198
– –
CINF icon
552
Cincinnati Financial
CINF
$27.1B
$10K ﹤0.01%
210
-131
-38% -$6.26K
CME icon
553
CME Group
CME
$94.8B
$10K ﹤0.01%
122
– –
DJP icon
554
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$794M
$10K ﹤0.01%
314
– –
FLS icon
555
Flowserve
FLS
$10.2B
$10K ﹤0.01%
150
– –
GM icon
556
General Motors
GM
$76.8B
$10K ﹤0.01%
321
-15
-4% -$523
LUV icon
557
Southwest Airlines
LUV
$23B
$10K ﹤0.01%
275
– –
MRC
558
DELISTED
MRC Global
MRC
$10K ﹤0.01%
500
– –
NCLH icon
559
Norwegian Cruise Line
NCLH
$8.84B
$10K ﹤0.01%
+264
New +$8.96K
ROP icon
560
Roper Technologies
ROP
$39.8B
$10K ﹤0.01%
+65
New +$9.55K
SAN icon
561
Banco Santander
SAN
$210B
$10K ﹤0.01%
1,367
-159
-10% -$1.43K
CLR
562
DELISTED
CONTINENTAL RESOURCES INC.
CLR
$10K ﹤0.01%
+190
New +$14.2K
VAR
563
DELISTED
Varian Medical Systems, Inc.
VAR
$10K ﹤0.01%
137
– –
HAR
564
DELISTED
Harman International Industries
HAR
$10K ﹤0.01%
97
+71
+273% +$7.92K
ARMH
565
DELISTED
ARM HOLDINGS PLC ADS
ARMH
$10K ﹤0.01%
256
+183
+251% +$8.3K
HR
566
DELISTED
Healthcare Realty Trust Incorporated
HR
$10K ﹤0.01%
406
-144
-26% -$3.57K
ATO icon
567
Atmos Energy
ATO
$28.8B
$9K ﹤0.01%
174
– –
CNQ icon
568
Canadian Natural Resources
CNQ
$93.8B
$9K ﹤0.01%
521
– –
DAL icon
569
Delta Air Lines
DAL
$60.1B
$9K ﹤0.01%
218
– –
ETR icon
570
Entergy
ETR
$50B
$9K ﹤0.01%
228
– –
LEN icon
571
Lennar Class A
LEN
$21.2B
$9K ﹤0.01%
+216
New +$8.02K
NFLX icon
572
Netflix
NFLX
$309B
$9K ﹤0.01%
1,750
– –
RFG icon
573
Invesco S&P MidCap 400 Pure Growth ETF
RFG
$358M
$9K ﹤0.01%
+400
New +$9.93K
SLM icon
574
SLM Corp
SLM
$5.15B
$9K ﹤0.01%
1,000
– –
SQM icon
575
Sociedad Química y Minera de Chile
SQM
$20.6B
$9K ﹤0.01%
+430
New +$11.7K
21 22
23
24 25

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NFG
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6M
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RFA
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CCT
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CC
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RM
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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.