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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
IJH icon
51
iShares Core S&P Mid-Cap ETF
IJH
$126B
$2.27M 0.34%
73,215
+28,815
+65% +$891K
MMM icon
52
3M
MMM
$94B
$2.17M 0.33%
14,760
-225
-2% -$33.6K
CSCO icon
53
Cisco
CSCO
$473B
$2.08M 0.31%
65,705
-442
-0.7% -$13.6K
SON icon
54
Sonoco
SON
$5.69B
$2.08M 0.31%
39,399
+3,637
+10% +$188K
IBM icon
55
IBM
IBM
$223B
$2.07M 0.31%
13,623
+462
+4% +$70.1K
EEMV icon
56
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.55B
$2.05M 0.31%
38,011
+4,095
+12% +$218K
HRL icon
57
Hormel Foods
HRL
$13.9B
$2.02M 0.3%
53,228
-1,300
-2% -$48.3K
ADP icon
58
Automatic Data Processing
ADP
$109B
$1.95M 0.29%
22,074
-967
-4% -$87.6K
HDV
59
iShares Core High Dividend ETF
HDV
$14.8B
$1.92M 0.29%
117,950
+27,220
+30% +$448K
SYY icon
60
Sysco
SYY
$40B
$1.9M 0.28%
38,672
-996
-3% -$51.2K
SO icon
61
Southern Company
SO
$107B
$1.71M 0.26%
33,309
-2,577
-7% -$136K
HD icon
62
Home Depot
HD
$355B
$1.7M 0.25%
13,176
+93
+0.7% +$12.4K
VZ icon
63
Verizon
VZ
$194B
$1.68M 0.25%
32,403
+2,309
+8% +$124K
MO icon
64
Altria Group
MO
$114B
$1.65M 0.25%
26,117
+2,114
+9% +$140K
IEFA icon
65
iShares Core MSCI EAFE ETF
IEFA
$196B
$1.54M 0.23%
27,963
+902
+3% +$48.7K
PDP icon
66
Invesco Dorsey Wright Momentum ETF
PDP
$1.5B
$1.5M 0.23%
35,386
+13,691
+63% +$585K
BAX icon
67
Baxter International
BAX
$14.1B
$1.48M 0.22%
31,032
-1,924
-6% -$90.7K
MRK icon
68
Merck
MRK
$313B
$1.42M 0.21%
23,855
+1,869
+9% +$109K
TREE icon
69
LendingTree
TREE
$459M
$1.41M 0.21%
14,511
-1,000
-6% -$99.5K
UPS icon
70
United Parcel Service
UPS
$88.8B
$1.4M 0.21%
12,799
-357
-3% -$39K
COP icon
71
ConocoPhillips
COP
$140B
$1.39M 0.21%
31,907
-3,217
-9% -$134K
MCD icon
72
McDonald's
MCD
$196B
$1.38M 0.21%
11,979
+582
+5% +$69K
BMY icon
73
Bristol-Myers Squibb
BMY
$131B
$1.37M 0.21%
25,461
+10,514
+70% +$675K
EFAV icon
74
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.51B
$1.31M 0.2%
19,333
+4,755
+33% +$320K
OCSL icon
75
Oaktree Specialty Lending
OCSL
$1.14B
$1.27M 0.19%
73,066
-1,801
-2% -$30.9K
1 2
3
4 5

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TU
TDAM USA Toronto, Ontario, Canada $1.61B AUM 28.05% 1-Year Est. Return
NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
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.