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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
FBT icon
701
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.78B
$16K ﹤0.01%
161
– –
FFC
702
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$16K ﹤0.01%
800
– –
HYZD icon
703
WisdomTree Trust WisdomTree Interest Rate Hedged High Yield Bond Fund
HYZD
$261M
$16K ﹤0.01%
685
– –
ITUB icon
704
Itaú Unibanco
ITUB
$87.5B
$16K ﹤0.01%
3,479
-56
-2% -$265
LBTYK icon
705
Liberty Global Class C
LBTYK
$3.49B
$16K ﹤0.01%
502
+27
+6% +$833
NTRS icon
706
Northern Trust
NTRS
$33.9B
$16K ﹤0.01%
250
-8
-3% -$543
PCN
707
PIMCO Corporate & Income Strategy Fund
PCN
$885M
$16K ﹤0.01%
1,080
– –
PEO
708
Adams Natural Resources Fund
PEO
$725M
$16K ﹤0.01%
875
– –
RPG icon
709
Invesco S&P 500 Pure Growth ETF
RPG
$2.04B
$16K ﹤0.01%
975
– –
VLO icon
710
Valero Energy
VLO
$85.9B
$16K ﹤0.01%
310
– –
TWTR
711
DELISTED
Twitter, Inc.
TWTR
$16K ﹤0.01%
714
– –
BOJA
712
DELISTED
Bojangles', Inc. Common Stock
BOJA
$16K ﹤0.01%
1,040
– –
KND
713
DELISTED
Kindred Healthcare
KND
$16K ﹤0.01%
1,625
– –
CPHD
714
DELISTED
Cepheid Inc
CPHD
$16K ﹤0.01%
305
– –
FTR
715
DELISTED
Frontier Communications Corp.
FTR
$16K ﹤0.01%
264
-8
-3% -$570
RHT
716
DELISTED
Red Hat Inc
RHT
$16K ﹤0.01%
200
– –
FMS icon
717
Fresenius Medical Care
FMS
$12.9B
$15K ﹤0.01%
360
+80
+29% +$3.58K
KBE icon
718
State Street SPDR S&P Bank ETF
KBE
$1.71B
$15K ﹤0.01%
+450
New +$14.6K
NWBI icon
719
Northwest Bancshares
NWBI
$2.28B
$15K ﹤0.01%
+1,000
New +$15.2K
PIZ icon
720
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$735M
$15K ﹤0.01%
654
– –
SLX icon
721
VanEck Steel ETF
SLX
$176M
$15K ﹤0.01%
500
– –
TDG icon
722
TransDigm Group
TDG
$67.7B
$15K ﹤0.01%
52
+1
+2% +$281
TEL icon
723
TE Connectivity
TEL
$62.6B
$15K ﹤0.01%
238
– –
VTWG icon
724
Vanguard Russell 2000 Growth ETF
VTWG
$1.55B
$15K ﹤0.01%
140
– –
XLP icon
725
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.7B
$15K ﹤0.01%
291
– –
27 28
29
30 31

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RFA
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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.