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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
+0.1%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$324M
AUM Growth
-$33.2M
Cap. Flow
-$39.8M
Cap. Flow %
-12.28%
Top 10 Hldgs %
40.98%
Holding
1,053
New
82
Increased
100
Reduced
249
Closed
124

Top Buys

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.19M
2
RCAP
RCS CAPITAL CORPORATION CLASS A COM
RCAP
+$1.32M
3
BBRC
Columbia Beyond BRICs ETF
BBRC
+$1.21M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$617K
5
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$474K

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.83M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.43M
3
IOO icon
iShares Global 100 ETF
IOO
+$3.86M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.88M
5
FEZ icon
State Street SPDR EURO STOXX 50 ETF
FEZ
+$2.34M

Sector Composition

Rank Sector Weight
1 Financials 12.76%
2 Technology 10.02%
3 Energy 8.24%
4 Healthcare 6.21%
5 Industrials 4.9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TFCFA
601
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$8K ﹤0.01%
250
-10
-4% -$346
RGC
602
DELISTED
Regal Entertainment Group
RGC
$8K ﹤0.01%
365
– –
ARG
603
DELISTED
Airgas Inc
ARG
$8K ﹤0.01%
76
– –
PCL
604
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$8K ﹤0.01%
200
-53
-21% -$2.21K
SPLS
605
DELISTED
Staples Inc
SPLS
$8K ﹤0.01%
675
– –
LNKD
606
DELISTED
LinkedIn Corporation
LNKD
$8K ﹤0.01%
35
– –
BMO icon
607
Bank of Montreal
BMO
$127B
$7K ﹤0.01%
100
-335
-77% -$25.2K
DINO icon
608
HF Sinclair
DINO
$14.5B
$7K ﹤0.01%
+180
New +$8.39K
ESS icon
609
Essex Property Trust
ESS
$18.5B
$7K ﹤0.01%
38
– –
HHH icon
610
Howard Hughes
HHH
$4.03B
$7K ﹤0.01%
51
– –
ITUB icon
611
Itaú Unibanco
ITUB
$87.5B
$7K ﹤0.01%
+1,265
New +$8.06K
LQD icon
612
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$33B
$7K ﹤0.01%
65
– –
MDY icon
613
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.3B
$7K ﹤0.01%
30
– –
PKX icon
614
POSCO
PKX
$17.5B
$7K ﹤0.01%
114
– –
PMM
615
Franklin Managed Municipal Income Trust
PMM
$273M
$7K ﹤0.01%
1,010
– –
SJM icon
616
J.M. Smucker
SJM
$12.8B
$7K ﹤0.01%
72
-10
-12% -$1.03K
TM icon
617
Toyota
TM
$225B
$7K ﹤0.01%
61
– –
XLY icon
618
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$23.2B
$7K ﹤0.01%
222
– –
TGP
619
DELISTED
Teekay LNG Partners L.P.
TGP
$7K ﹤0.01%
200
– –
NE
620
DELISTED
Noble Corporation
NE
$7K ﹤0.01%
350
-50
-13% -$1.35K
LVNTA
621
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
$7K ﹤0.01%
200
+17
+9% +$622
YDKN
622
DELISTED
Yadkin Financial Corporation
YDKN
$7K ﹤0.01%
374
– –
HNT
623
DELISTED
HEALTH NET INC
HNT
$7K ﹤0.01%
165
– –
QIHU
624
DELISTED
QIHOO 360 TECHNOLOGY CO LTD ADS RPSTG 3 CL A SHS
QIHU
$7K ﹤0.01%
100
– –
A icon
625
Agilent Technologies
A
$41.2B
$6K ﹤0.01%
212
– –
23 24
25
26 27

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6M
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CCT
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Carroll Financial Associates's Q3 2014 Portfolio in Review

As of Q3 2014, Carroll Financial Associates held 1,053 positions worth $324M, down 9.3% from $357M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Carroll Financial Associates withdrew a net $39.8M in Q3 2014, closing 124 positions and reducing 249 holdings. Its most notable exit was Atlantic Union Bankshares, an estimated $872K position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 12% a quarter earlier, followed by Technology and Energy.

Against the trend, Carroll Financial Associates opened a new position in Invesco S&P 500 Downside Hedged ETF worth $7.45M.

  • Carroll Financial Associates's largest Q3 2014 buy was Invesco S&P 500 Downside Hedged ETF: 251,160 shares worth $7.45M.
  • Carroll Financial Associates added most to Columbia Beyond BRICs ETF in Q3 2014, an estimated $1.21M increase.
  • Carroll Financial Associates's biggest Q3 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.83M.
  • Carroll Financial Associates fully exited Atlantic Union Bankshares in Q3 2014, selling an estimated $872K.
  • Carroll Financial Associates's ten largest holdings make up 41% of its $324M portfolio in Q3 2014.
  • Carroll Financial Associates opened 82 new positions and closed 124 in Q3 2014.
  • Carroll Financial Associates's portfolio value fell 9.3% quarter-over-quarter to $324M.

Based on Carroll Financial Associates's 13F filing for Q3 2014, filed 13 Nov 2014.