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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
+2.92%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$666M
AUM Growth
+$68.1M
Cap. Flow
+$54.1M
Cap. Flow %
8.12%
Top 10 Hldgs %
45.11%
Holding
1,312
New
70
Increased
326
Reduced
189
Closed
67

Top Buys

Rank Stock Value
1
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$16.4M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.6M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$3.36M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$2.45M
5
XOM icon
ExxonMobil
XOM
+$2.01M

Top Sells

Rank Stock Value
1
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.12M
2
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$945K
3
WT icon
WisdomTree
WT
+$765K
4
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$535K
5
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$516K

Sector Composition

Rank Sector Weight
1 Financials 8.9%
2 Technology 6.08%
3 Energy 4.49%
4 Healthcare 4.43%
5 Consumer Staples 4.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FLOT icon
576
iShares Floating Rate Bond ETF
FLOT
$10.5B
$28K ﹤0.01%
552
-493
-47% -$25K
IWS icon
577
iShares Russell Mid-Cap Value ETF
IWS
$15.9B
$28K ﹤0.01%
372
+138
+59% +$10.5K
PEBK icon
578
Peoples Bancorp of North Carolina
PEBK
$229M
$28K ﹤0.01%
1,515
– –
PGEN icon
579
Precigen
PGEN
$2.59B
$28K ﹤0.01%
1,009
– –
ES icon
580
Eversource Energy
ES
$27.2B
$27K ﹤0.01%
509
+120
+31% +$6.77K
HPE icon
581
Hewlett Packard
HPE
$70.5B
$27K ﹤0.01%
2,053
– –
PARA
582
DELISTED
Paramount Global Class B
PARA
$27K ﹤0.01%
493
+128
+35% +$6.79K
PSLV icon
583
Sprott Physical Silver Trust
PSLV
$13.2B
$27K ﹤0.01%
3,750
– –
UTG icon
584
Reaves Utility Income Fund
UTG
$3.61B
$27K ﹤0.01%
892
– –
MLPI
585
DELISTED
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
$27K ﹤0.01%
953
– –
AGU
586
DELISTED
Agrium
AGU
$27K ﹤0.01%
300
– –
DIV icon
587
Global X SuperDividend US ETF
DIV
$783M
$26K ﹤0.01%
1,073
– –
EFR
588
Eaton Vance Senior Floating-Rate Fund
EFR
$317M
$26K ﹤0.01%
+1,900
New +$25.7K
EGBN icon
589
Eagle Bancorp
EGBN
$845M
$26K ﹤0.01%
530
– –
TTE icon
590
TotalEnergies
TTE
$190B
$26K ﹤0.01%
4,430,637
-234,184,219
-98% -$164K
VMO icon
591
Invesco Municipal Opportunity Trust
VMO
$663M
$26K ﹤0.01%
1,829
– –
CTXS
592
DELISTED
Citrix Systems Inc
CTXS
$26K ﹤0.01%
388
– –
POT
593
DELISTED
Potash Corp Of Saskatchewan
POT
$26K ﹤0.01%
1,618
+4
+0.2% +$66
CATO icon
594
Cato Corp
CATO
$66.1M
$25K ﹤0.01%
775
-1,842
-70% -$63.7K
FPF
595
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.08B
$25K ﹤0.01%
+1,100
New +$25.7K
HBAN icon
596
Huntington Bancshares
HBAN
$35.5B
$25K ﹤0.01%
2,573
+41
+2% +$390
ITOT icon
597
iShares Core S&P Total US Stock Market ETF
ITOT
$97.8B
$25K ﹤0.01%
+505
New +$24.9K
LYB icon
598
LyondellBasell Industries
LYB
$19.2B
$25K ﹤0.01%
316
+200
+172% +$15.5K
PDM
599
Piedmont Realty Trust
PDM
$1.19B
$25K ﹤0.01%
1,162
– –
TEX icon
600
Terex
TEX
$7.74B
$25K ﹤0.01%
1,000
– –
22 23
24
25 26

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TU
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NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
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Carroll Financial Associates's Q3 2016 Portfolio in Review

As of Q3 2016, Carroll Financial Associates held 1,312 positions worth $666M, up 11% from $598M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $54.1M of net new capital in Q3 2016, opening 70 new positions and adding to 326 existing holdings. Its largest new stake was iShares Russell 1000 ETF: 1,252 shares worth $150K.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, down from 9.3% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Xtrackers MSCI Europe Hedged Equity ETF, an estimated $2.12M trimmed.

  • Carroll Financial Associates's largest Q3 2016 buy was iShares Russell 1000 ETF: 1,252 shares worth $150K.
  • Carroll Financial Associates added most to Knowledge Leaders Developed World ETF in Q3 2016, an estimated $16.4M increase.
  • Carroll Financial Associates's biggest Q3 2016 reduction was Xtrackers MSCI Europe Hedged Equity ETF, cutting an estimated $2.12M.
  • Carroll Financial Associates fully exited UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN in Q3 2016, selling an estimated $945K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $666M portfolio in Q3 2016.
  • Carroll Financial Associates opened 70 new positions and closed 67 in Q3 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $666M.

Based on Carroll Financial Associates's 13F filing for Q3 2016, filed 11 Oct 2016.