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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
ETG
676
Eaton Vance Tax-Advantaged Global Dividend Income Fund
ETG
$1.85B
$15K ﹤0.01%
1,080
– –
NCZ
677
Virtus Convertible & Income Fund II
NCZ
$301M
$15K ﹤0.01%
775
+25
+3% +$452
NOV icon
678
NOV
NOV
$7B
$15K ﹤0.01%
505
-496
-50% -$15.2K
NTES icon
679
NetEase
NTES
$84.7B
$15K ﹤0.01%
530
-290
-35% -$8.69K
PEO
680
Adams Natural Resources Fund
PEO
$725M
$15K ﹤0.01%
+875
New +$14.1K
PIZ icon
681
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$735M
$15K ﹤0.01%
654
– –
RPG icon
682
Invesco S&P 500 Pure Growth ETF
RPG
$2.04B
$15K ﹤0.01%
975
– –
WM icon
683
Waste Management
WM
$91B
$15K ﹤0.01%
267
-292
-52% -$16.1K
XLP icon
684
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.7B
$15K ﹤0.01%
291
– –
BOJA
685
DELISTED
Bojangles', Inc. Common Stock
BOJA
$15K ﹤0.01%
940
– –
LVNTA
686
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
$15K ﹤0.01%
388
+9
+2% +$342
WFM
687
DELISTED
Whole Foods Market Inc
WFM
$15K ﹤0.01%
514
-58
-10% -$1.81K
GGP
688
DELISTED
GGP Inc.
GGP
$15K ﹤0.01%
517
– –
ESV
689
DELISTED
Ensco Rowan plc
ESV
$15K ﹤0.01%
364
– –
A icon
690
Agilent Technologies
A
$41.2B
$14K ﹤0.01%
352
+200
+132% +$7.62K
BFH icon
691
Bread Financial
BFH
$4.38B
$14K ﹤0.01%
81
– –
CSGP icon
692
CoStar Group
CSGP
$12.3B
$14K ﹤0.01%
770
– –
FBT icon
693
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.78B
$14K ﹤0.01%
161
– –
HYZD icon
694
WisdomTree Trust WisdomTree Interest Rate Hedged High Yield Bond Fund
HYZD
$261M
$14K ﹤0.01%
+685
New +$14.6K
IWD icon
695
iShares Russell 1000 Value ETF
IWD
$83.9B
$14K ﹤0.01%
147
-1,052
-88% -$98.6K
KLAC icon
696
KLA
KLAC
$259B
$14K ﹤0.01%
2,000
– –
PCN
697
PIMCO Corporate & Income Strategy Fund
PCN
$885M
$14K ﹤0.01%
1,080
– –
TEL icon
698
TE Connectivity
TEL
$62.6B
$14K ﹤0.01%
237
– –
RHT
699
DELISTED
Red Hat Inc
RHT
$14K ﹤0.01%
200
– –
CHY
700
Calamos Convertible and High Income Fund
CHY
$1.06B
$13K ﹤0.01%
1,300
– –
26 27
28
29 30

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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.