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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
J icon
651
Jacobs Solutions
J
$17B
$20K ﹤0.01%
484
– –
KYN icon
652
Kayne Anderson Energy Infrastructure Fund
KYN
$2.4B
$20K ﹤0.01%
1,000
– –
RNP icon
653
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$20K ﹤0.01%
1,000
– –
STX icon
654
Seagate
STX
$184B
$20K ﹤0.01%
538
– –
UYG icon
655
ProShares Ultra Financials
UYG
$845M
$20K ﹤0.01%
840
– –
ADRE
656
DELISTED
Invesco BLDRS Emerging Markets 50 ADR Index Fund
ADRE
$20K ﹤0.01%
600
– –
IRR
657
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$20K ﹤0.01%
3,000
– –
ANF icon
658
Abercrombie & Fitch
ANF
$5B
$19K ﹤0.01%
1,204
– –
APD icon
659
Air Products & Chemicals
APD
$67.6B
$19K ﹤0.01%
144
+89
+162% +$12.3K
BKT icon
660
BlackRock Income Trust
BKT
$341M
$19K ﹤0.01%
+1,000
New +$19.7K
CCL icon
661
Carnival Corporation Ltd
CCL
$39.7B
$19K ﹤0.01%
400
– –
CP icon
662
Canadian Pacific Kansas City
CP
$80.5B
$19K ﹤0.01%
625
-625
-50% -$18.4K
ETJ
663
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$575M
$19K ﹤0.01%
+2,100
New +$20.4K
MMT
664
Aberdeen Multi-Market Income Fund
MMT
$243M
$19K ﹤0.01%
3,250
+2,250
+225% +$13.8K
MSD
665
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
$19K ﹤0.01%
+2,000
New +$19.3K
PHDG icon
666
Invesco S&P 500 Downside Hedged ETF
PHDG
$65M
$19K ﹤0.01%
835
-2,200
-72% -$52.6K
TNK icon
667
Teekay Tankers
TNK
$2.68B
$19K ﹤0.01%
964
+70
+8% +$1.57K
XLB icon
668
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$19K ﹤0.01%
800
-366
-31% -$8.81K
ULTI
669
DELISTED
Ultimate Software Group Inc
ULTI
$19K ﹤0.01%
95
– –
CAB
670
DELISTED
Cabela's Inc
CAB
$19K ﹤0.01%
351
– –
FEEU
671
DELISTED
Barclays ETN+ FI Enhanced Europe 50 ETN
FEEU
$19K ﹤0.01%
212
– –
CGW icon
672
Invesco S&P Global Water Index ETF
CGW
$1.08B
$18K ﹤0.01%
589
– –
EHI
673
Western Asset Global High Income Fund
EHI
$178M
$18K ﹤0.01%
+1,820
New +$18.3K
EWU icon
674
iShares MSCI United Kingdom ETF
EWU
$4.16B
$18K ﹤0.01%
585
– –
FV icon
675
First Trust Dorsey Wright Focus 5 ETF
FV
$3.77B
$18K ﹤0.01%
808
– –
25 26
27
28 29

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TU
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NFG
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6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
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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
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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.