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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
+5.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$785M
AUM Growth
+$84M
Cap. Flow
+$49.3M
Cap. Flow %
6.28%
Top 10 Hldgs %
45.22%
Holding
1,307
New
75
Increased
250
Reduced
239
Closed
52

Top Buys

Rank Stock Value
1
ENB icon
Enbridge
ENB
+$5.57M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$5.52M
3
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$5.48M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.65M
5
AXP icon
American Express
AXP
+$3.41M

Top Sells

Rank Stock Value
1
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.59M
2
SE
Spectra Energy Corp Wi
SE
+$3.64M
3
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$1.34M
4
VIIX
VelocityShares VIX Short Term ETN
VIIX
+$779K
5
LOB icon
Live Oak Bancshares
LOB
+$752K

Sector Composition

Rank Sector Weight
1 Financials 9.12%
2 Technology 5.75%
3 Energy 4.37%
4 Healthcare 4.06%
5 Industrials 3.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UYG icon
651
ProShares Ultra Financials
UYG
$847M
$21K ﹤0.01%
660
-180
-21% -$5.85K
GPT
652
DELISTED
Gramercy Property Trust
GPT
$21K ﹤0.01%
827
-1
-0.1% -$27
POT
653
DELISTED
Potash Corp Of Saskatchewan
POT
$21K ﹤0.01%
1,262
-99
-7% -$1.79K
OKS
654
DELISTED
Oneok Partners LP
OKS
$21K ﹤0.01%
400
– –
BBVA icon
655
Banco Bilbao Vizcaya Argentaria
BBVA
$156B
$20K ﹤0.01%
2,669
-49
-2% -$334
CNX icon
656
CNX Resources
CNX
$5.2B
$20K ﹤0.01%
+1,500
New +$21.1K
HPQ icon
657
HP
HPQ
$27.5B
$20K ﹤0.01%
1,137
– –
ILCG icon
658
iShares Morningstar Growth ETF
ILCG
$3.27B
$20K ﹤0.01%
+775
New +$19.9K
ITUB icon
659
Itaú Unibanco
ITUB
$87.5B
$20K ﹤0.01%
3,474
– –
LEG icon
660
Leggett & Platt
LEG
$1.31B
$20K ﹤0.01%
400
– –
NGG icon
661
National Grid
NGG
$81.3B
$20K ﹤0.01%
333
– –
NOC icon
662
Northrop Grumman
NOC
$81.2B
$20K ﹤0.01%
85
– –
SLV icon
663
iShares Silver Trust
SLV
$30.7B
$20K ﹤0.01%
1,195
-12,300
-91% -$204K
SLX icon
664
VanEck Steel ETF
SLX
$176M
$20K ﹤0.01%
500
– –
VLO icon
665
Valero Energy
VLO
$85.9B
$20K ﹤0.01%
310
– –
XLB icon
666
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$20K ﹤0.01%
800
-50
-6% -$1.3K
XLRE icon
667
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.59B
$20K ﹤0.01%
638
-353
-36% -$11K
FGH
668
DELISTED
FG Group Holdings Inc.
FGH
$20K ﹤0.01%
+3,375
New +$23K
FIGY
669
DELISTED
Barclays ETN+ FI Enhanced Global High Yield ETN
FIGY
$20K ﹤0.01%
139
– –
RGC
670
DELISTED
Regal Entertainment Group
RGC
$20K ﹤0.01%
+900
New +$19.8K
FV icon
671
First Trust Dorsey Wright Focus 5 ETF
FV
$3.77B
$19K ﹤0.01%
808
– –
HES
672
DELISTED
Hess
HES
$19K ﹤0.01%
401
+220
+122% +$11.7K
KLAC icon
673
KLA
KLAC
$259B
$19K ﹤0.01%
2,000
– –
PGEN icon
674
Precigen
PGEN
$2.59B
$19K ﹤0.01%
1,000
-9
-0.9% -$201
RNP icon
675
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
$19K ﹤0.01%
1,000
– –
25 26
27
28 29

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Carroll Financial Associates's Q1 2017 Portfolio in Review

As of Q1 2017, Carroll Financial Associates held 1,307 positions worth $785M, up 12% from $701M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $49.3M of net new capital in Q1 2017, opening 75 new positions and adding to 250 existing holdings. Its largest new stake was Enbridge: 131,920 shares worth $5.52M.

By sector, the portfolio is most concentrated in Financials at 9.1% of assets, down from 9.5% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, an estimated $5.59M trimmed.

  • Carroll Financial Associates's largest Q1 2017 buy was Enbridge: 131,920 shares worth $5.52M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q1 2017, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q1 2017 reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, cutting an estimated $5.59M.
  • Carroll Financial Associates fully exited Spectra Energy Corp Wi in Q1 2017, selling an estimated $3.64M.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $785M portfolio in Q1 2017.
  • Carroll Financial Associates opened 75 new positions and closed 52 in Q1 2017.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $785M.

Based on Carroll Financial Associates's 13F filing for Q1 2017, filed 11 Apr 2017.