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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
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$538M
AUM Growth
+$58M
Cap. Flow
+$46.6M
Cap. Flow %
8.66%
Top 10 Hldgs %
44.15%
Holding
1,319
New
136
Increased
373
Reduced
192
Closed
80

Top Buys

Rank Stock Value
1
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$11M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$8.68M
3
SCIU
Global X Scientific Beta US ETF
SCIU
+$7.1M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$6.75M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$2.99M

Top Sells

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$8.16M
2
SE
Spectra Energy Corp Wi
SE
+$3.04M
3
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$1.14M
4
PKW icon
Invesco BuyBack Achievers ETF
PKW
+$765K
5
GPT
Gramercy Property Trust
GPT
+$611K

Sector Composition

Rank Sector Weight
1 Financials 9.82%
2 Technology 6.79%
3 Energy 4.95%
4 Consumer Staples 4.87%
5 Industrials 4.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DIV icon
551
Global X SuperDividend US ETF
DIV
$783M
$26K ﹤0.01%
1,073
– –
EXPE icon
552
Expedia Group
EXPE
$37.3B
$26K ﹤0.01%
250
– –
HOG icon
553
Harley-Davidson
HOG
$2.71B
$26K ﹤0.01%
521
+87
+20% +$3.8K
IEV icon
554
iShares Europe ETF
IEV
$1.7B
$26K ﹤0.01%
687
+130
+23% +$4.9K
TECH icon
555
Bio-Techne
TECH
$11.3B
$26K ﹤0.01%
1,140
+800
+235% +$17.6K
TNK icon
556
Teekay Tankers
TNK
$2.68B
$26K ﹤0.01%
894
+119
+15% +$4.11K
UTG icon
557
Reaves Utility Income Fund
UTG
$3.61B
$26K ﹤0.01%
892
– –
XLB icon
558
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$26K ﹤0.01%
1,166
– –
AGU
559
DELISTED
Agrium
AGU
$26K ﹤0.01%
300
– –
AHRT
560
AH Realty Trust
AHRT
$517M
$25K ﹤0.01%
+2,290
New +$24.4K
AIG icon
561
American International
AIG
$41.3B
$25K ﹤0.01%
479
+50
+12% +$2.7K
EGBN icon
562
Eagle Bancorp
EGBN
$845M
$25K ﹤0.01%
530
– –
ES icon
563
Eversource Energy
ES
$27.2B
$25K ﹤0.01%
430
+202
+89% +$11K
FISV
564
Fiserv Inc
FISV
$27.9B
$25K ﹤0.01%
500
– –
IXN icon
565
iShares Global Tech ETF
IXN
$9.26B
$25K ﹤0.01%
1,530
+1,230
+410% +$19K
MIN
566
Aberdeen Intermediate Income Fund
MIN
$278M
$25K ﹤0.01%
5,500
– –
PEBK icon
567
Peoples Bancorp of North Carolina
PEBK
$229M
$25K ﹤0.01%
+1,515
New +$25.8K
RCI icon
568
Rogers Communications
RCI
$18.6B
$25K ﹤0.01%
640
-300
-32% -$10.9K
SXT icon
569
Sensient Technologies
SXT
$5.53B
$25K ﹤0.01%
400
– –
TRIP icon
570
TripAdvisor
TRIP
$1.26B
$25K ﹤0.01%
380
– –
VMO icon
571
Invesco Municipal Opportunity Trust
VMO
$663M
$25K ﹤0.01%
1,829
– –
CSC
572
DELISTED
Computer Sciences
CSC
$25K ﹤0.01%
750
– –
BCS.PRC
573
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$25K ﹤0.01%
1,000
– –
HBAN icon
574
Huntington Bancshares
HBAN
$35.5B
$24K ﹤0.01%
2,532
+155
+7% +$1.43K
KR icon
575
Kroger
KR
$34.8B
$24K ﹤0.01%
640
– –
21 22
23
24 25

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Carroll Financial Associates's Q1 2016 Portfolio in Review

As of Q1 2016, Carroll Financial Associates held 1,319 positions worth $538M, up 12% from $480M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $46.6M of net new capital in Q1 2016, opening 136 new positions and adding to 373 existing holdings. Its largest new stake was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.

By sector, the portfolio is most concentrated in Financials at 9.8% of assets, down from 11% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Invesco S&P 500 Downside Hedged ETF, an estimated $8.16M trimmed.

  • Carroll Financial Associates's largest Q1 2016 buy was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.
  • Carroll Financial Associates added most to Goldman Sachs ActiveBeta US Large Cap Equity ETF in Q1 2016, an estimated $11M increase.
  • Carroll Financial Associates's biggest Q1 2016 reduction was Invesco S&P 500 Downside Hedged ETF, cutting an estimated $8.16M.
  • Carroll Financial Associates fully exited UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN in Q1 2016, selling an estimated $541K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $538M portfolio in Q1 2016.
  • Carroll Financial Associates opened 136 new positions and closed 80 in Q1 2016.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $538M.

Based on Carroll Financial Associates's 13F filing for Q1 2016, filed 20 Apr 2016.