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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
+3.88%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$701M
AUM Growth
+$34.8M
Cap. Flow
+$12.6M
Cap. Flow %
1.79%
Top 10 Hldgs %
45.65%
Holding
1,296
New
50
Increased
228
Reduced
255
Closed
65

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$5.71M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.33M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$4M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$3.71M
5
IVV icon
iShares Core S&P 500 ETF
IVV
+$1.58M

Top Sells

Rank Stock Value
1
PSTB
Park Sterling Corp.
PSTB
+$2.87M
2
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.52M
3
PNY
PIEDMONT NATURAL GAS CO INC(NC
PNY
+$2.34M
4
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$1.12M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$842K

Sector Composition

Rank Sector Weight
1 Financials 9.48%
2 Technology 5.84%
3 Energy 4.14%
4 Healthcare 3.95%
5 Industrials 3.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LYB icon
576
LyondellBasell Industries
LYB
$19.2B
$27K ﹤0.01%
316
– –
PBI icon
577
Pitney Bowes
PBI
$2.39B
$27K ﹤0.01%
1,838
– –
UTG icon
578
Reaves Utility Income Fund
UTG
$3.61B
$27K ﹤0.01%
892
– –
INVX
579
Innovex International
INVX
$1.97B
$27K ﹤0.01%
450
– –
CTXS
580
DELISTED
Citrix Systems Inc
CTXS
$27K ﹤0.01%
388
– –
MLPI
581
DELISTED
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
$27K ﹤0.01%
953
– –
JPGE
582
DELISTED
JPMorgan Diversified Return Global Equity ETF
JPGE
$27K ﹤0.01%
+546
New +$28.2K
DFS
583
DELISTED
Discover Financial Services
DFS
$26K ﹤0.01%
366
– –
DIV icon
584
Global X SuperDividend US ETF
DIV
$783M
$26K ﹤0.01%
1,073
– –
FISV
585
Fiserv Inc
FISV
$27.9B
$26K ﹤0.01%
500
– –
HOG icon
586
Harley-Davidson
HOG
$2.71B
$26K ﹤0.01%
461
– –
SUP
587
DELISTED
Superior Industries International
SUP
$26K ﹤0.01%
1,000
– –
KLEM
588
DELISTED
GaveKal Knowledge Leaders Emerging Markets ETF
KLEM
$26K ﹤0.01%
1,200
+200
+20% +$4.66K
BTI icon
589
British American Tobacco
BTI
$128B
$25K ﹤0.01%
448
+66
+17% +$3.74K
DGX icon
590
Quest Diagnostics
DGX
$26.3B
$25K ﹤0.01%
279
– –
UYG icon
591
ProShares Ultra Financials
UYG
$847M
$25K ﹤0.01%
840
– –
BSCJ
592
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
$25K ﹤0.01%
1,190
– –
FPF
593
First Trust Intermediate Duration Preferred & Income Fund
FPF
$1.08B
$24K ﹤0.01%
1,100
– –
IYT icon
594
iShares US Transportation ETF
IYT
$2.29B
$24K ﹤0.01%
600
– –
MIN
595
Aberdeen Intermediate Income Fund
MIN
$278M
$24K ﹤0.01%
5,500
– –
PBT
596
Permian Basin Royalty Trust
PBT
$1.49B
$24K ﹤0.01%
3,200
– –
PDM
597
Piedmont Realty Trust
PDM
$1.19B
$24K ﹤0.01%
1,162
– –
PGEN icon
598
Precigen
PGEN
$2.59B
$24K ﹤0.01%
1,009
– –
TIPZ icon
599
PIMCO Broad US TIPS Index Exchange-Traded Fund
TIPZ
$88.4M
$24K ﹤0.01%
425
– –
POT
600
DELISTED
Potash Corp Of Saskatchewan
POT
$24K ﹤0.01%
1,361
-257
-16% -$4.45K
22 23
24
25 26

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Carroll Financial Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Carroll Financial Associates held 1,296 positions worth $701M, up 5.2% from $666M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

Carroll Financial Associates's Q4 2016 filing shows 50 new, 228 increased, 255 reduced and 65 closed positions. Its largest new stake was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K. The largest sale was Park Sterling Corp., an estimated $2.87M.

By sector, the portfolio is most concentrated in Financials at 9.5% of assets, up from 8.9% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q4 2016 buy was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q4 2016, an estimated $5.71M increase.
  • Carroll Financial Associates's biggest Q4 2016 reduction was Park Sterling Corp., cutting an estimated $2.87M.
  • Carroll Financial Associates fully exited PIEDMONT NATURAL GAS CO INC(NC in Q4 2016, selling an estimated $2.34M.
  • Carroll Financial Associates's ten largest holdings make up 46% of its $701M portfolio in Q4 2016.
  • Carroll Financial Associates opened 50 new positions and closed 65 in Q4 2016.
  • Carroll Financial Associates's portfolio value rose 5.2% quarter-over-quarter to $701M.

Based on Carroll Financial Associates's 13F filing for Q4 2016, filed 11 Jan 2017.