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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
+0.1%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$324M
AUM Growth
-$33.2M
Cap. Flow
-$39.8M
Cap. Flow %
-12.28%
Top 10 Hldgs %
40.98%
Holding
1,053
New
82
Increased
100
Reduced
249
Closed
124

Top Buys

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.19M
2
RCAP
RCS CAPITAL CORPORATION CLASS A COM
RCAP
+$1.32M
3
BBRC
Columbia Beyond BRICs ETF
BBRC
+$1.21M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$617K
5
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$474K

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.83M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.43M
3
IOO icon
iShares Global 100 ETF
IOO
+$3.86M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.88M
5
FEZ icon
State Street SPDR EURO STOXX 50 ETF
FEZ
+$2.34M

Sector Composition

Rank Sector Weight
1 Financials 12.76%
2 Technology 10.02%
3 Energy 8.24%
4 Healthcare 6.21%
5 Industrials 4.9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DRI icon
651
Darden Restaurants
DRI
$24.4B
$5K ﹤0.01%
112
– –
EOD
652
Allspring Global Dividend Opportunity Fund
EOD
$286M
$5K ﹤0.01%
650
-1,400
-68% -$11.6K
FBIN icon
653
Fortune Brands Innovations
FBIN
$6.06B
$5K ﹤0.01%
150
– –
GCO icon
654
Genesco
GCO
$422M
$5K ﹤0.01%
75
– –
HEDJ icon
655
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.87B
$5K ﹤0.01%
+200
New +$5.75K
KBE icon
656
State Street SPDR S&P Bank ETF
KBE
$1.66B
$5K ﹤0.01%
175
– –
KSS icon
657
Kohl's
KSS
$2.19B
$5K ﹤0.01%
90
– –
LYG icon
658
Lloyds Banking Group
LYG
$91.3B
$5K ﹤0.01%
1,109
– –
MOS icon
659
The Mosaic Company
MOS
$7.33B
$5K ﹤0.01%
128
– –
NBR icon
660
Nabors Industries
NBR
$1.21B
$5K ﹤0.01%
6
– –
NTAP icon
661
NetApp
NTAP
$37.2B
$5K ﹤0.01%
125
– –
PII icon
662
Polaris
PII
$4.07B
$5K ﹤0.01%
34
-17
-33% -$2.46K
SPH icon
663
Suburban Propane Partners
SPH
$1.18B
$5K ﹤0.01%
116
– –
VBR icon
664
Vanguard Morningstar Small-Cap Value ETF
VBR
$37.9B
$5K ﹤0.01%
55
– –
VTR icon
665
Ventas
VTR
$47.9B
$5K ﹤0.01%
68
– –
WBD icon
666
Warner Bros
WBD
$67.1B
$5K ﹤0.01%
173
-166
-49% -$6.91K
WY icon
667
Weyerhaeuser
WY
$18.4B
$5K ﹤0.01%
161
-46
-22% -$1.51K
VMW
668
DELISTED
VMware, Inc
VMW
$5K ﹤0.01%
67
– –
S
669
DELISTED
Sprint Corporation
S
$5K ﹤0.01%
1,136
-497
-30% -$3.38K
TRK
670
DELISTED
Speedway Motorsports, Inc.
TRK
$5K ﹤0.01%
265
– –
WFT
671
DELISTED
Weatherford International plc
WFT
$5K ﹤0.01%
+333
New +$7.49K
TAL
672
DELISTED
TAL INTERNATIONAL GROUP, INC.
TAL
$5K ﹤0.01%
115
– –
SWY
673
DELISTED
SAFEWAY INC
SWY
$5K ﹤0.01%
160
+150
+1,500% +$5.18K
PDLI
674
DELISTED
PDL BioPharma, Inc.
PDLI
$5K ﹤0.01%
700
– –
KMI.WS
675
DELISTED
Kinder Morgan Inc
KMI.WS
$5K ﹤0.01%
1,544
+904
+141% +$3.05K
25 26
27
28 29

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Carroll Financial Associates's Q3 2014 Portfolio in Review

As of Q3 2014, Carroll Financial Associates held 1,053 positions worth $324M, down 9.3% from $357M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Carroll Financial Associates withdrew a net $39.8M in Q3 2014, closing 124 positions and reducing 249 holdings. Its most notable exit was Atlantic Union Bankshares, an estimated $872K position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 12% a quarter earlier, followed by Technology and Energy.

Against the trend, Carroll Financial Associates opened a new position in Invesco S&P 500 Downside Hedged ETF worth $7.45M.

  • Carroll Financial Associates's largest Q3 2014 buy was Invesco S&P 500 Downside Hedged ETF: 251,160 shares worth $7.45M.
  • Carroll Financial Associates added most to Columbia Beyond BRICs ETF in Q3 2014, an estimated $1.21M increase.
  • Carroll Financial Associates's biggest Q3 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.83M.
  • Carroll Financial Associates fully exited Atlantic Union Bankshares in Q3 2014, selling an estimated $872K.
  • Carroll Financial Associates's ten largest holdings make up 41% of its $324M portfolio in Q3 2014.
  • Carroll Financial Associates opened 82 new positions and closed 124 in Q3 2014.
  • Carroll Financial Associates's portfolio value fell 9.3% quarter-over-quarter to $324M.

Based on Carroll Financial Associates's 13F filing for Q3 2014, filed 13 Nov 2014.