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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
TIPZ icon
601
PIMCO Broad US TIPS Index Exchange-Traded Fund
TIPZ
$88.4M
$25K ﹤0.01%
425
– –
INVX
602
Innovex International
INVX
$1.97B
$25K ﹤0.01%
450
– –
BSCJ
603
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
$25K ﹤0.01%
1,190
+675
+131% +$14.5K
WGL
604
DELISTED
Wgl Holdings
WGL
$25K ﹤0.01%
400
– –
KLEM
605
DELISTED
GaveKal Knowledge Leaders Emerging Markets ETF
KLEM
$25K ﹤0.01%
+1,000
New +$24.4K
BOND icon
606
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.49B
$24K ﹤0.01%
+225
New +$24.2K
BTI icon
607
British American Tobacco
BTI
$128B
$24K ﹤0.01%
382
+18
+5% +$1.14K
FDL icon
608
First Trust Morningstar Dividend Leaders Index Fund
FDL
$7.84B
$24K ﹤0.01%
910
– –
FISV
609
Fiserv Inc
FISV
$27.9B
$24K ﹤0.01%
500
– –
HOG icon
610
Harley-Davidson
HOG
$2.71B
$24K ﹤0.01%
461
– –
MIN
611
Aberdeen Intermediate Income Fund
MIN
$278M
$24K ﹤0.01%
5,500
– –
PGF icon
612
Invesco Financial Preferred ETF
PGF
$672M
$24K ﹤0.01%
+1,290
New +$24.8K
SWK icon
613
Stanley Black & Decker
SWK
$15.7B
$24K ﹤0.01%
202
– –
TRIP icon
614
TripAdvisor
TRIP
$1.26B
$24K ﹤0.01%
380
– –
VIAB
615
DELISTED
Viacom Inc. Class B
VIAB
$24K ﹤0.01%
651
-525
-45% -$21.8K
CHL
616
DELISTED
China Mobile Limited
CHL
$24K ﹤0.01%
401
-1
-0.2% -$61
DGX icon
617
Quest Diagnostics
DGX
$26.3B
$23K ﹤0.01%
279
-1
-0.4% -$84
EPP icon
618
iShares MSCI Pacific ex Japan ETF
EPP
$2.28B
$23K ﹤0.01%
545
– –
GEN icon
619
Gen Digital
GEN
$17.5B
$23K ﹤0.01%
950
– –
K
620
DELISTED
Kellanova
K
$23K ﹤0.01%
320
– –
NVG icon
621
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.7B
$23K ﹤0.01%
1,434
– –
OMC icon
622
Omnicom Group
OMC
$23.4B
$23K ﹤0.01%
275
– –
SKT icon
623
Tanger
SKT
$4.52B
$23K ﹤0.01%
600
– –
ZTS icon
624
Zoetis
ZTS
$30B
$23K ﹤0.01%
460
– –
MNK
625
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$23K ﹤0.01%
331
– –
23 24
25
26 27

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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.