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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
XNTK icon
726
State Street SPDR NYSE Technology ETF
XNTK
$2.23B
$15K ﹤0.01%
258
– –
IBKC
727
DELISTED
IBERIABANK Corp
IBKC
$15K ﹤0.01%
230
– –
S
728
DELISTED
Sprint Corporation
S
$15K ﹤0.01%
2,271
– –
SPXH
729
DELISTED
Janus Velocity Volatility Hedged Large Cap ETF
SPXH
$15K ﹤0.01%
+500
New +$14.9K
LVNTA
730
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
$15K ﹤0.01%
398
– –
OKS
731
DELISTED
Oneok Partners LP
OKS
$15K ﹤0.01%
400
– –
PC
732
DELISTED
PANASONIC CORP ADR (REP 1 SHR COM STK) (JP)
PC
$15K ﹤0.01%
1,500
– –
SWFT
733
DELISTED
Swift Transportation Company
SWFT
$15K ﹤0.01%
700
– –
CHY
734
Calamos Convertible and High Income Fund
CHY
$1.06B
$14K ﹤0.01%
1,300
– –
HEQ
735
John Hancock Hedged Equity & Income Fund
HEQ
$140M
$14K ﹤0.01%
884
– –
HIW icon
736
Highwoods Properties
HIW
$3.47B
$14K ﹤0.01%
285
+185
+185% +$9.84K
IYR icon
737
iShares US Real Estate ETF
IYR
$4.57B
$14K ﹤0.01%
178
– –
NAVI icon
738
Navient
NAVI
$853M
$14K ﹤0.01%
1,000
– –
TRP icon
739
TC Energy
TRP
$65.9B
$14K ﹤0.01%
300
– –
ULTA icon
740
Ulta Beauty
ULTA
$24.3B
$14K ﹤0.01%
+63
New +$15.9K
VGK icon
741
Vanguard FTSE Europe ETF
VGK
$31.1B
$14K ﹤0.01%
300
-296
-50% -$14.2K
NS
742
DELISTED
NuStar Energy L.P.
NS
$14K ﹤0.01%
300
– –
NATI
743
DELISTED
National Instruments Corp
NATI
$14K ﹤0.01%
508
+140
+38% +$3.93K
INFO
744
DELISTED
IHS Markit Ltd. Common Shares
INFO
$14K ﹤0.01%
+390
New +$13.9K
SSFN
745
DELISTED
Stewardship Financial Corp
SSFN
$14K ﹤0.01%
1,880
– –
WFM
746
DELISTED
Whole Foods Market Inc
WFM
$14K ﹤0.01%
514
– –
GGP
747
DELISTED
GGP Inc.
GGP
$14K ﹤0.01%
517
– –
BFH icon
748
Bread Financial
BFH
$4.38B
$13K ﹤0.01%
81
– –
CAH icon
749
Cardinal Health
CAH
$55.4B
$13K ﹤0.01%
171
-9
-5% -$727
CHKP icon
750
Check Point Software Technologies
CHKP
$13.1B
$13K ﹤0.01%
169
+45
+36% +$3.49K
28 29
30
31 32

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6M
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RFA
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CCT
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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.