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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
-7.01%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$451M
AUM Growth
+$4.05M
Cap. Flow
+$19M
Cap. Flow %
4.21%
Top 10 Hldgs %
41.98%
Holding
1,252
New
121
Increased
384
Reduced
193
Closed
84

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.52M
2
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$2.56M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.18M
4
TREE icon
LendingTree
TREE
+$1.57M
5
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$1.53M

Top Sells

Rank Stock Value
1
BBRC
Columbia Beyond BRICs ETF
BBRC
+$5.39M
2
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$4.09M
3
OCSL icon
Oaktree Specialty Lending
OCSL
+$1.36M
4
DGRE icon
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
+$861K
5
BAX icon
Baxter International
BAX
+$815K

Sector Composition

Rank Sector Weight
1 Financials 11.5%
2 Technology 7.62%
3 Energy 5.42%
4 Healthcare 5.01%
5 Consumer Staples 4.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NFLX icon
601
Netflix
NFLX
$309B
$17K ﹤0.01%
1,750
– –
NTRS icon
602
Northern Trust
NTRS
$33.9B
$17K ﹤0.01%
258
+18
+8% +$1.32K
SLV icon
603
iShares Silver Trust
SLV
$30.9B
$17K ﹤0.01%
1,195
-106
-8% -$1.51K
UUP icon
604
Invesco DB US Dollar Index Bullish Fund
UUP
$413M
$17K ﹤0.01%
700
– –
VIS icon
605
Vanguard Industrials ETF
VIS
$8.48B
$17K ﹤0.01%
175
-195
-53% -$19.8K
VLO icon
606
Valero Energy
VLO
$85.9B
$17K ﹤0.01%
293
– –
SFE
607
DELISTED
Safeguard Scientifics, Inc.
SFE
$17K ﹤0.01%
1,000
– –
BBBY
608
DELISTED
Bed Bath & Beyond Inc
BBBY
$17K ﹤0.01%
309
-66
-18% -$4.21K
ULTI
609
DELISTED
Ultimate Software Group Inc
ULTI
$17K ﹤0.01%
95
+14
+17% +$2.5K
ADRE
610
DELISTED
Invesco BLDRS Emerging Markets 50 ADR Index Fund
ADRE
$17K ﹤0.01%
600
– –
AEG icon
611
Aegon
AEG
$14.1B
$16K ﹤0.01%
3,848
-86
-2% -$416
BRW
612
Saba Capital Income & Opportunities Fund
BRW
$339M
$16K ﹤0.01%
1,580
– –
CGW icon
613
Invesco S&P Global Water Index ETF
CGW
$1.08B
$16K ﹤0.01%
589
– –
JBHT icon
614
JB Hunt Transport Services
JBHT
$25.2B
$16K ﹤0.01%
215
+15
+8% +$1.19K
NCZ
615
Virtus Convertible & Income Fund II
NCZ
$301M
$16K ﹤0.01%
750
– –
NOC icon
616
Northrop Grumman
NOC
$81.2B
$16K ﹤0.01%
93
+1
+1% +$168
SAP icon
617
SAP
SAP
$238B
$16K ﹤0.01%
211
-189
-47% -$13K
UTG icon
618
Reaves Utility Income Fund
UTG
$3.61B
$16K ﹤0.01%
571
– –
FSD
619
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$16K ﹤0.01%
1,100
– –
WFM
620
DELISTED
Whole Foods Market Inc
WFM
$16K ﹤0.01%
514
-330
-39% -$11.7K
GDF
621
DELISTED
WESTERN ASSET GLB PARTNERS INCM FUND INC. COM
GDF
$16K ﹤0.01%
2,000
– –
ADEP
622
DELISTED
Adept Technology Inc
ADEP
$16K ﹤0.01%
1,300
– –
AKAM icon
623
Akamai
AKAM
$15.9B
$15K ﹤0.01%
216
+66
+44% +$4.76K
CCL icon
624
Carnival Corporation Ltd
CCL
$39.7B
$15K ﹤0.01%
300
+100
+50% +$5.09K
DGX icon
625
Quest Diagnostics
DGX
$26.3B
$15K ﹤0.01%
233
-15
-6% -$1.05K
23 24
25
26 27

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NFG
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6M
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RFA
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CCT
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C
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CC
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RM
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Carroll Financial Associates's Q3 2015 Portfolio in Review

As of Q3 2015, Carroll Financial Associates held 1,252 positions worth $451M, up 0.91% from $447M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Carroll Financial Associates deployed $19M of net new capital in Q3 2015, opening 121 new positions and adding to 384 existing holdings. Its largest new stake was PacWest Bancorp: 21,542 shares worth $926K.

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

On the sell side, the largest reduction was Columbia Beyond BRICs ETF, an estimated $5.39M trimmed.

  • Carroll Financial Associates's largest Q3 2015 buy was PacWest Bancorp: 21,542 shares worth $926K.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q3 2015, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q3 2015 reduction was Columbia Beyond BRICs ETF, cutting an estimated $5.39M.
  • Carroll Financial Associates fully exited KRAFT FOODS GROUP INC COM STK (VA) in Q3 2015, selling an estimated $475K.
  • Carroll Financial Associates's ten largest holdings make up 42% of its $451M portfolio in Q3 2015.
  • Carroll Financial Associates opened 121 new positions and closed 84 in Q3 2015.
  • Carroll Financial Associates's portfolio value rose 0.91% quarter-over-quarter to $451M.

Based on Carroll Financial Associates's 13F filing for Q3 2015, filed 28 Oct 2015.