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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
+3.57%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$878M
AUM Growth
+$50.8M
Cap. Flow
+$12.8M
Cap. Flow %
1.46%
Top 10 Hldgs %
47.08%
Holding
1,346
New
83
Increased
259
Reduced
310
Closed
70

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$13.1M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$11.3M
3
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$6.91M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.07M
5
RTX icon
RTX Corp
RTX
+$4.07M

Top Sells

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$14.9M
2
DD icon
DuPont de Nemours
DD
+$7.88M
3
XIVH
VelocityShares VIX Short Volatility Hedged ETN
XIVH
+$3.8M
4
DD
Du Pont De Nemours E I
DD
+$1.5M
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$1.33M

Sector Composition

Rank Sector Weight
1 Financials 8.75%
2 Technology 5.53%
3 Healthcare 3.99%
4 Energy 3.84%
5 Industrials 3.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NTRS icon
626
Northern Trust
NTRS
$33.9B
$23K ﹤0.01%
250
– –
PDM
627
Piedmont Realty Trust
PDM
$1.19B
$23K ﹤0.01%
1,162
– –
PSLV icon
628
Sprott Physical Silver Trust
PSLV
$13.2B
$23K ﹤0.01%
3,750
– –
VLO icon
629
Valero Energy
VLO
$85.9B
$23K ﹤0.01%
310
– –
VMO icon
630
Invesco Municipal Opportunity Trust
VMO
$663M
$23K ﹤0.01%
1,829
– –
SYKE
631
DELISTED
SYKES Enterprises Inc
SYKE
$23K ﹤0.01%
800
– –
BN icon
632
Brookfield
BN
$108B
$22K ﹤0.01%
1,477
– –
ILCG icon
633
iShares Morningstar Growth ETF
ILCG
$3.27B
$22K ﹤0.01%
775
– –
ITT icon
634
ITT
ITT
$19.1B
$22K ﹤0.01%
500
-250
-33% -$10.3K
OKE icon
635
Oneok
OKE
$54.5B
$22K ﹤0.01%
+394
New +$21.3K
PARA
636
DELISTED
Paramount Global Class B
PARA
$22K ﹤0.01%
385
– –
PHDG icon
637
Invesco S&P 500 Downside Hedged ETF
PHDG
$65M
$22K ﹤0.01%
841
+6
+0.7% +$155
SHV icon
638
iShares 0-1 Year Treasury Bond ETF
SHV
$20.6B
$22K ﹤0.01%
200
– –
FIGY
639
DELISTED
Barclays ETN+ FI Enhanced Global High Yield ETN
FIGY
$22K ﹤0.01%
139
– –
POT
640
DELISTED
Potash Corp Of Saskatchewan
POT
$22K ﹤0.01%
1,165
+1
+0.1% +$18
FV icon
641
First Trust Dorsey Wright Focus 5 ETF
FV
$3.77B
$21K ﹤0.01%
808
– –
PUK icon
642
Prudential
PUK
$35.2B
$21K ﹤0.01%
467
– –
RNP icon
643
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$21K ﹤0.01%
1,000
– –
SLX icon
644
VanEck Steel ETF
SLX
$176M
$21K ﹤0.01%
500
– –
VRSK icon
645
Verisk Analytics
VRSK
$25B
$21K ﹤0.01%
253
-55
-18% -$4.56K
JPS
646
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$21K ﹤0.01%
2,088
-2,281
-52% -$23.4K
ETP
647
DELISTED
Energy Transfer Partners, L.P.
ETP
$21K ﹤0.01%
1,163
-450
-28% -$8.74K
ADSK icon
648
Autodesk
ADSK
$52.6B
$20K ﹤0.01%
173
– –
AIG icon
649
American International
AIG
$41.8B
$20K ﹤0.01%
329
-174
-35% -$10.8K
BBVA icon
650
Banco Bilbao Vizcaya Argentaria
BBVA
$156B
$20K ﹤0.01%
2,362
– –
24 25
26
27 28

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Carroll Financial Associates's Q3 2017 Portfolio in Review

As of Q3 2017, Carroll Financial Associates held 1,346 positions worth $878M, up 6.1% from $827M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q3 2017 filing shows 83 new, 259 increased, 310 reduced and 70 closed positions. Its largest new stake was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M. The largest sale was iShares MSCI USA Momentum Factor ETF, an estimated $14.9M.

By sector, the portfolio is most concentrated in Financials at 8.7% of assets, down from 8.9% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2017 buy was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q3 2017, an estimated $13.1M increase.
  • Carroll Financial Associates's biggest Q3 2017 reduction was iShares MSCI USA Momentum Factor ETF, cutting an estimated $14.9M.
  • Carroll Financial Associates fully exited DuPont de Nemours in Q3 2017, selling an estimated $7.88M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $878M portfolio in Q3 2017.
  • Carroll Financial Associates opened 83 new positions and closed 70 in Q3 2017.
  • Carroll Financial Associates's portfolio value rose 6.1% quarter-over-quarter to $878M.

Based on Carroll Financial Associates's 13F filing for Q3 2017, filed 25 Oct 2017.