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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
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$538M
AUM Growth
+$58M
Cap. Flow
+$46.6M
Cap. Flow %
8.66%
Top 10 Hldgs %
44.15%
Holding
1,319
New
136
Increased
373
Reduced
192
Closed
80

Top Buys

Rank Stock Value
1
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$11M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$8.68M
3
SCIU
Global X Scientific Beta US ETF
SCIU
+$7.1M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$6.75M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$2.99M

Top Sells

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$8.16M
2
SE
Spectra Energy Corp Wi
SE
+$3.04M
3
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$1.14M
4
PKW icon
Invesco BuyBack Achievers ETF
PKW
+$765K
5
GPT
Gramercy Property Trust
GPT
+$611K

Sector Composition

Rank Sector Weight
1 Financials 9.82%
2 Technology 6.79%
3 Energy 4.95%
4 Consumer Staples 4.87%
5 Industrials 4.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LUV icon
601
Southwest Airlines
LUV
$23B
$21K ﹤0.01%
475
– –
PCEF icon
602
Invesco CEF Income Composite ETF
PCEF
$813M
$21K ﹤0.01%
1,000
– –
SKT icon
603
Tanger
SKT
$4.52B
$21K ﹤0.01%
600
– –
SWK icon
604
Stanley Black & Decker
SWK
$15.7B
$21K ﹤0.01%
202
-8
-4% -$776
TRI icon
605
Thomson Reuters
TRI
$44.1B
$21K ﹤0.01%
451
– –
NQU
606
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$21K ﹤0.01%
1,466
– –
CHL
607
DELISTED
China Mobile Limited
CHL
$21K ﹤0.01%
382
-138
-27% -$7.44K
AA icon
608
Alcoa
AA
$13.2B
$20K ﹤0.01%
901
-250
-22% -$5.09K
BN icon
609
Brookfield
BN
$108B
$20K ﹤0.01%
1,706
+3
+0.2% +$32
DNP icon
610
DNP Select Income Fund
DNP
$4.09B
$20K ﹤0.01%
2,000
-3,938
-66% -$37.4K
GSIE icon
611
Goldman Sachs ActiveBeta International Equity ETF
GSIE
$6.16B
$20K ﹤0.01%
+830
New +$19.3K
JHML icon
612
John Hancock Multifactor Large Cap ETF
JHML
$1.2B
$20K ﹤0.01%
+780
New +$19.5K
NUV icon
613
Nuveen Municipal Value Fund
NUV
$1.91B
$20K ﹤0.01%
2,000
– –
PARA
614
DELISTED
Paramount Global Class B
PARA
$20K ﹤0.01%
365
+13
+4% +$633
ZTS icon
615
Zoetis
ZTS
$30B
$20K ﹤0.01%
460
+242
+111% +$10.3K
SAFM
616
DELISTED
Sanderson Farms Inc
SAFM
$20K ﹤0.01%
+225
New +$18.9K
KND
617
DELISTED
Kindred Healthcare
KND
$20K ﹤0.01%
+1,625
New +$16.8K
CSRA
618
DELISTED
CSRA Inc.
CSRA
$20K ﹤0.01%
+750
New +$19.6K
BCS.PR.CL
619
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
$20K ﹤0.01%
800
– –
JTP
620
DELISTED
NUVEEN QUALITY PFD INCOME FD
JTP
$20K ﹤0.01%
2,500
– –
CHD icon
621
Church & Dwight Co
CHD
$24.5B
$19K ﹤0.01%
416
– –
HPQ icon
622
HP
HPQ
$27.5B
$19K ﹤0.01%
1,570
-731
-32% -$7.82K
IWV icon
623
iShares Russell 3000 ETF
IWV
$20.4B
$19K ﹤0.01%
+161
New +$18.4K
LEG icon
624
Leggett & Platt
LEG
$1.31B
$19K ﹤0.01%
400
– –
PBT
625
Permian Basin Royalty Trust
PBT
$1.49B
$19K ﹤0.01%
+3,200
New +$17.6K
23 24
25
26 27

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NFG
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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 Q1 2016 Portfolio in Review

As of Q1 2016, Carroll Financial Associates held 1,319 positions worth $538M, up 12% from $480M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $46.6M of net new capital in Q1 2016, opening 136 new positions and adding to 373 existing holdings. Its largest new stake was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.

By sector, the portfolio is most concentrated in Financials at 9.8% of assets, down from 11% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Invesco S&P 500 Downside Hedged ETF, an estimated $8.16M trimmed.

  • Carroll Financial Associates's largest Q1 2016 buy was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.
  • Carroll Financial Associates added most to Goldman Sachs ActiveBeta US Large Cap Equity ETF in Q1 2016, an estimated $11M increase.
  • Carroll Financial Associates's biggest Q1 2016 reduction was Invesco S&P 500 Downside Hedged ETF, cutting an estimated $8.16M.
  • Carroll Financial Associates fully exited UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN in Q1 2016, selling an estimated $541K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $538M portfolio in Q1 2016.
  • Carroll Financial Associates opened 136 new positions and closed 80 in Q1 2016.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $538M.

Based on Carroll Financial Associates's 13F filing for Q1 2016, filed 20 Apr 2016.