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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
+0.1%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$324M
AUM Growth
-$33.2M
Cap. Flow
-$39.8M
Cap. Flow %
-12.28%
Top 10 Hldgs %
40.98%
Holding
1,053
New
82
Increased
100
Reduced
249
Closed
124

Top Buys

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.19M
2
RCAP
RCS CAPITAL CORPORATION CLASS A COM
RCAP
+$1.32M
3
BBRC
Columbia Beyond BRICs ETF
BBRC
+$1.21M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$617K
5
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$474K

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.83M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.43M
3
IOO icon
iShares Global 100 ETF
IOO
+$3.86M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.88M
5
FEZ icon
State Street SPDR EURO STOXX 50 ETF
FEZ
+$2.34M

Sector Composition

Rank Sector Weight
1 Financials 12.76%
2 Technology 10.02%
3 Energy 8.24%
4 Healthcare 6.21%
5 Industrials 4.9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RRC icon
51
Range Resources
RRC
$9.01B
$1.24M 0.38%
16,812
-2,834
-14% -$216K
ARCC icon
52
Ares Capital
ARCC
$14.1B
$1.12M 0.35%
68,730
+10,130
+17% +$171K
RTX icon
53
RTX Corp
RTX
$301B
$1.08M 0.33%
15,838
-785
-5% -$53.8K
LNC icon
54
Lincoln National
LNC
$8.93B
$968K 0.3%
17,207
-4,425
-20% -$235K
OXY icon
55
Occidental Petroleum
OXY
$55.7B
$952K 0.29%
11,156
+105
+1% +$10.1K
BAX icon
56
Baxter International
BAX
$14B
$949K 0.29%
24,710
+3,139
+15% +$127K
RY icon
57
Royal Bank of Canada
RY
$294B
$913K 0.28%
12,659
-2,258
-15% -$166K
IBM icon
58
IBM
IBM
$220B
$900K 0.28%
5,770
-2,317
-29% -$422K
SON icon
59
Sonoco
SON
$5.64B
$869K 0.27%
20,978
-156
-0.7% -$6.37K
T icon
60
AT&T
T
$162B
$866K 0.27%
32,700
-9,541
-23% -$254K
VUG icon
61
Vanguard Morningstar Growth ETF
VUG
$229B
$844K 0.26%
48,942
– –
FCX icon
62
Freeport-McMoran
FCX
$95.5B
$832K 0.26%
29,265
-10,478
-26% -$381K
LRFC
63
DELISTED
Logan Ridge Finance Corp
LRFC
$823K 0.25%
7,550
+255
+3% +$28.7K
AMGN icon
64
Amgen
AMGN
$219B
$810K 0.25%
4,992
+975
+24% +$127K
HD icon
65
Home Depot
HD
$349B
$807K 0.25%
8,228
-645
-7% -$55.3K
COP icon
66
ConocoPhillips
COP
$142B
$786K 0.24%
10,955
-3,903
-26% -$319K
WMT icon
67
Walmart Inc
WMT
$892B
$785K 0.24%
29,808
+1,227
+4% +$31K
PNY
68
DELISTED
PIEDMONT NATURAL GAS CO INC(NC
PNY
$775K 0.24%
20,554
-14,352
-41% -$515K
IJH icon
69
iShares Core S&P Mid-Cap ETF
IJH
$125B
$764K 0.24%
26,660
– –
DD
70
DELISTED
Du Pont De Nemours E I
DD
$752K 0.23%
11,193
+1,255
+13% +$79K
DIS icon
71
Walt Disney
DIS
$182B
$751K 0.23%
8,355
+136
+2% +$12K
VTV icon
72
Vanguard Morningstar Value ETF
VTV
$191B
$750K 0.23%
8,950
– –
MON
73
DELISTED
Monsanto Co
MON
$720K 0.22%
6,092
– –
COV
74
DELISTED
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
$718K 0.22%
7,666
+110
+1% +$9.74K
EPD icon
75
Enterprise Products Partners
EPD
$82.3B
$707K 0.22%
18,752
– –
1 2
3
4 5

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6M
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RFA
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CCT
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Carroll Financial Associates's Q3 2014 Portfolio in Review

As of Q3 2014, Carroll Financial Associates held 1,053 positions worth $324M, down 9.3% from $357M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Carroll Financial Associates withdrew a net $39.8M in Q3 2014, closing 124 positions and reducing 249 holdings. Its most notable exit was Atlantic Union Bankshares, an estimated $872K position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 12% a quarter earlier, followed by Technology and Energy.

Against the trend, Carroll Financial Associates opened a new position in Invesco S&P 500 Downside Hedged ETF worth $7.45M.

  • Carroll Financial Associates's largest Q3 2014 buy was Invesco S&P 500 Downside Hedged ETF: 251,160 shares worth $7.45M.
  • Carroll Financial Associates added most to Columbia Beyond BRICs ETF in Q3 2014, an estimated $1.21M increase.
  • Carroll Financial Associates's biggest Q3 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.83M.
  • Carroll Financial Associates fully exited Atlantic Union Bankshares in Q3 2014, selling an estimated $872K.
  • Carroll Financial Associates's ten largest holdings make up 41% of its $324M portfolio in Q3 2014.
  • Carroll Financial Associates opened 82 new positions and closed 124 in Q3 2014.
  • Carroll Financial Associates's portfolio value fell 9.3% quarter-over-quarter to $324M.

Based on Carroll Financial Associates's 13F filing for Q3 2014, filed 13 Nov 2014.