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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
GPT
626
DELISTED
Gramercy Property Trust
GPT
$23K ﹤0.01%
828
-16,030
-95% -$464K
AVGO icon
627
Broadcom
AVGO
$2.04T
$22K ﹤0.01%
1,320
– –
BN icon
628
Brookfield
BN
$108B
$22K ﹤0.01%
1,766
+87
+5% +$1.06K
GSG icon
629
iShares S&P GSCI Commodity-Indexed Trust
GSG
$900M
$22K ﹤0.01%
+1,517
New +$22K
NGG icon
630
National Grid
NGG
$81.3B
$22K ﹤0.01%
333
– –
PBT
631
Permian Basin Royalty Trust
PBT
$1.49B
$22K ﹤0.01%
3,200
– –
PCEF icon
632
Invesco CEF Income Composite ETF
PCEF
$813M
$22K ﹤0.01%
1,000
– –
SHV icon
633
iShares 0-1 Year Treasury Bond ETF
SHV
$20.6B
$22K ﹤0.01%
200
– –
VRSK icon
634
Verisk Analytics
VRSK
$25B
$22K ﹤0.01%
281
– –
SYKE
635
DELISTED
SYKES Enterprises Inc
SYKE
$22K ﹤0.01%
800
– –
AA icon
636
Alcoa
AA
$13.2B
$21K ﹤0.01%
863
-246
-22% -$6K
AZN icon
637
AstraZeneca
AZN
$250B
$21K ﹤0.01%
328
+117
+55% +$7.65K
EA
638
DELISTED
Electronic Arts
EA
$21K ﹤0.01%
248
– –
GAM
639
General American Investors Company
GAM
$1.61B
$21K ﹤0.01%
+657
New +$21.3K
IYT icon
640
iShares US Transportation ETF
IYT
$2.28B
$21K ﹤0.01%
+600
New +$21.2K
KXI icon
641
iShares Global Consumer Staples ETF
KXI
$1.07B
$21K ﹤0.01%
440
– –
NUV icon
642
Nuveen Municipal Value Fund
NUV
$1.91B
$21K ﹤0.01%
2,000
– –
TRI icon
643
Thomson Reuters
TRI
$44.1B
$21K ﹤0.01%
451
– –
WPP icon
644
WPP
WPP
$5.94B
$21K ﹤0.01%
182
-21
-10% -$2.4K
SAFM
645
DELISTED
Sanderson Farms Inc
SAFM
$21K ﹤0.01%
225
– –
DFS
646
DELISTED
Discover Financial Services
DFS
$20K ﹤0.01%
366
+25
+7% +$1.43K
DNP icon
647
DNP Select Income Fund
DNP
$4.09B
$20K ﹤0.01%
2,000
– –
EQIX icon
648
Equinix
EQIX
$103B
$20K ﹤0.01%
57
– –
FTA icon
649
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.42B
$20K ﹤0.01%
490
– –
IWV icon
650
iShares Russell 3000 ETF
IWV
$20.4B
$20K ﹤0.01%
161
– –
24 25
26
27 28

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TU
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NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
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
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

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.