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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
UUP icon
651
Invesco DB US Dollar Index Bullish Fund
UUP
$413M
$17K ﹤0.01%
700
– –
PXD
652
DELISTED
Pioneer Natural Resource Co.
PXD
$17K ﹤0.01%
127
+27
+27% +$3.35K
CAB
653
DELISTED
Cabela's Inc
CAB
$17K ﹤0.01%
351
– –
FEEU
654
DELISTED
Barclays ETN+ FI Enhanced Europe 50 ETN
FEEU
$17K ﹤0.01%
212
– –
CGW icon
655
Invesco S&P Global Water Index ETF
CGW
$1.08B
$16K ﹤0.01%
589
– –
DGRE icon
656
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
$146M
$16K ﹤0.01%
764
– –
FFC
657
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$16K ﹤0.01%
800
– –
FXH icon
658
First Trust Health Care AlphaDEX Fund
FXH
$1.11B
$16K ﹤0.01%
290
– –
GUT
659
Gabelli Utility Trust
GUT
$559M
$16K ﹤0.01%
2,770
– –
IWS icon
660
iShares Russell Mid-Cap Value ETF
IWS
$15.9B
$16K ﹤0.01%
234
-46
-16% -$3.03K
KYN icon
661
Kayne Anderson Energy Infrastructure Fund
KYN
$2.4B
$16K ﹤0.01%
1,000
– –
LBTYK icon
662
Liberty Global Class C
LBTYK
$3.49B
$16K ﹤0.01%
491
-124
-20% -$3.77K
LKQ icon
663
LKQ Corp
LKQ
$6.29B
$16K ﹤0.01%
511
– –
NTRS icon
664
Northern Trust
NTRS
$33.9B
$16K ﹤0.01%
258
– –
STWD icon
665
Starwood Property Trust
STWD
$6.09B
$16K ﹤0.01%
883
– –
TTE icon
666
TotalEnergies
TTE
$190B
$16K ﹤0.01%
223,618,777
+11,593,088
+5% +$1.16K
FSD
667
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$16K ﹤0.01%
1,100
– –
VAR
668
DELISTED
Varian Medical Systems, Inc.
VAR
$16K ﹤0.01%
+230
New +$15.6K
FIGY
669
DELISTED
Barclays ETN+ FI Enhanced Global High Yield ETN
FIGY
$16K ﹤0.01%
139
– –
GDF
670
DELISTED
WESTERN ASSET GLB PARTNERS INCM FUND INC. COM
GDF
$16K ﹤0.01%
2,000
– –
IRR
671
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$16K ﹤0.01%
3,000
– –
ADSK icon
672
Autodesk
ADSK
$52.6B
$15K ﹤0.01%
263
+14
+6% +$730
AEG icon
673
Aegon
AEG
$14.1B
$15K ﹤0.01%
3,848
– –
ALB icon
674
Albemarle
ALB
$15.5B
$15K ﹤0.01%
240
-9
-4% -$494
BRW
675
Saba Capital Income & Opportunities Fund
BRW
$339M
$15K ﹤0.01%
1,580
– –
25 26
27
28 29

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RFA
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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.