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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
IMCG icon
551
iShares Morningstar Mid-Cap Growth ETF
IMCG
$4.12B
$23K ﹤0.01%
912
– –
TIPZ icon
552
PIMCO Broad US TIPS Index Exchange-Traded Fund
TIPZ
$88.4M
$23K ﹤0.01%
425
-65
-13% -$3.63K
TT icon
553
Trane Technologies
TT
$106B
$23K ﹤0.01%
423
– –
UTG icon
554
Reaves Utility Income Fund
UTG
$3.61B
$23K ﹤0.01%
892
+321
+56% +$8.84K
CTXS
555
DELISTED
Citrix Systems Inc
CTXS
$23K ﹤0.01%
388
+295
+317% +$18.1K
BTI icon
556
British American Tobacco
BTI
$128B
$22K ﹤0.01%
402
+32
+9% +$1.83K
CTAS icon
557
Cintas
CTAS
$81.3B
$22K ﹤0.01%
1,000
– –
FISV
558
Fiserv Inc
FISV
$27.9B
$22K ﹤0.01%
+500
New +$23.5K
IEV icon
559
iShares Europe ETF
IEV
$1.7B
$22K ﹤0.01%
557
-3,390
-86% -$140K
MRSH
560
Marsh
MRSH
$91.5B
$22K ﹤0.01%
400
– –
NGG icon
561
National Grid
NGG
$81.3B
$22K ﹤0.01%
+333
New +$22.6K
PCG icon
562
PG&E
PCG
$38.5B
$22K ﹤0.01%
415
– –
QRVO icon
563
Qorvo
QRVO
$8.74B
$22K ﹤0.01%
437
– –
SWK icon
564
Stanley Black & Decker
SWK
$15.7B
$22K ﹤0.01%
210
+25
+14% +$2.63K
TIP icon
565
iShares TIPS Bond ETF
TIP
$14.7B
$22K ﹤0.01%
207
– –
VXUS icon
566
Vanguard Total International Stock ETF
VXUS
$163B
$22K ﹤0.01%
496
– –
NBBC
567
DELISTED
NEWBRIDGE BANCORP CLASS A COM STK (NC)
NBBC
$22K ﹤0.01%
1,861
-22,177
-92% -$255K
ESV
568
DELISTED
Ensco Rowan plc
ESV
$22K ﹤0.01%
364
+124
+52% +$8.1K
ADI icon
569
Analog Devices
ADI
$190B
$21K ﹤0.01%
384
– –
BF.B icon
570
Brown-Forman Class B
BF.B
$13.1B
$21K ﹤0.01%
669
– –
FE icon
571
FirstEnergy
FE
$27.5B
$21K ﹤0.01%
663
– –
LBTYK icon
572
Liberty Global Class C
LBTYK
$3.49B
$21K ﹤0.01%
615
+24
+4% +$866
PCEF icon
573
Invesco CEF Income Composite ETF
PCEF
$813M
$21K ﹤0.01%
1,000
– –
PUK icon
574
Prudential
PUK
$35.2B
$21K ﹤0.01%
480
+8
+2% +$356
SLF icon
575
Sun Life Financial
SLF
$45.4B
$21K ﹤0.01%
+702
New +$23.2K
21 22
23
24 25

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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.