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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
VRSK icon
576
Verisk Analytics
VRSK
$25B
$21K ﹤0.01%
276
+14
+5% +$1.06K
LLTC
577
DELISTED
Linear Technology Corp
LLTC
$21K ﹤0.01%
508
– –
OIL
578
DELISTED
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
$21K ﹤0.01%
3,500
– –
DGX icon
579
Quest Diagnostics
DGX
$26.3B
$20K ﹤0.01%
294
+61
+26% +$4.1K
KRE icon
580
State Street SPDR S&P Regional Banking ETF
KRE
$4.57B
$20K ﹤0.01%
500
+200
+67% +$8.65K
KXI icon
581
iShares Global Consumer Staples ETF
KXI
$1.07B
$20K ﹤0.01%
440
– –
LUV icon
582
Southwest Airlines
LUV
$23B
$20K ﹤0.01%
475
+175
+58% +$7.75K
NFLX icon
583
Netflix
NFLX
$309B
$20K ﹤0.01%
1,750
– –
NUV icon
584
Nuveen Municipal Value Fund
NUV
$1.91B
$20K ﹤0.01%
+2,000
New +$19.9K
OMC icon
585
Omnicom Group
OMC
$23.4B
$20K ﹤0.01%
275
+188
+216% +$13.8K
WY icon
586
Weyerhaeuser
WY
$18.4B
$20K ﹤0.01%
681
+493
+262% +$14.9K
RPAI
587
DELISTED
RETAIL PROPERTIES OF AMERICA, INC.
RPAI
$20K ﹤0.01%
1,410
– –
BCS.PR.CL
588
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
$20K ﹤0.01%
800
– –
JTP
589
DELISTED
NUVEEN QUALITY PFD INCOME FD
JTP
$20K ﹤0.01%
2,500
– –
NQU
590
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$20K ﹤0.01%
1,466
– –
CI icon
591
Cigna
CI
$74.6B
$19K ﹤0.01%
+130
New +$17.9K
ERC
592
Allspring Multi-Sector Income Fund
ERC
$259M
$19K ﹤0.01%
1,685
– –
HOG icon
593
Harley-Davidson
HOG
$2.71B
$19K ﹤0.01%
434
– –
IWS icon
594
iShares Russell Mid-Cap Value ETF
IWS
$15.9B
$19K ﹤0.01%
280
– –
IXC icon
595
iShares Global Energy ETF
IXC
$2.62B
$19K ﹤0.01%
700
– –
LYG icon
596
Lloyds Banking Group
LYG
$91.3B
$19K ﹤0.01%
4,381
+22
+0.5% +$100
PWV icon
597
Invesco Large Cap Value ETF
PWV
$1.76B
$19K ﹤0.01%
654
– –
SKT icon
598
Tanger
SKT
$4.52B
$19K ﹤0.01%
600
– –
STX icon
599
Seagate
STX
$184B
$19K ﹤0.01%
532
+277
+109% +$10.5K
TRI icon
600
Thomson Reuters
TRI
$44.1B
$19K ﹤0.01%
451
-43
-9% -$2K
22 23
24
25 26

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NFG
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6M
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RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
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CC
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RM
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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.