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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
HII icon
776
Huntington Ingalls Industries
HII
$12.8B
$1K ﹤0.01%
17
– –
HL icon
777
Hecla Mining
HL
$11.3B
$1K ﹤0.01%
509
– –
ILF icon
778
iShares Latin America 40 ETF
ILF
$3.76B
$1K ﹤0.01%
45
-20
-31% -$803
IMNN icon
779
Imunon
IMNN
$6.77M
– –
0
– –
NOC icon
780
Northrop Grumman
NOC
$81.2B
$1K ﹤0.01%
13
– –
NRG icon
781
NRG Energy
NRG
$24.8B
$1K ﹤0.01%
44
-5
-10% -$156
ODFL icon
782
Old Dominion Freight Line
ODFL
$44.9B
$1K ﹤0.01%
66
– –
OGS icon
783
ONE Gas
OGS
$5.04B
$1K ﹤0.01%
31
– –
PNW icon
784
Pinnacle West Capital
PNW
$12.2B
$1K ﹤0.01%
22
– –
RPM icon
785
RPM International
RPM
$15B
$1K ﹤0.01%
27
– –
RYN icon
786
Rayonier
RYN
$6.55B
$1K ﹤0.01%
51
– –
SFST icon
787
Southern First Bancshares
SFST
$600M
$1K ﹤0.01%
+73
New +$1.01K
SMP icon
788
Standard Motor Products
SMP
$911M
$1K ﹤0.01%
40
– –
SRE icon
789
Sempra
SRE
$54.8B
$1K ﹤0.01%
22
– –
TPH
790
DELISTED
Tri Pointe Homes
TPH
$1K ﹤0.01%
+101
New +$1.44K
TREE icon
791
LendingTree
TREE
$451M
$1K ﹤0.01%
21
-6
-22% -$174
VOD icon
792
Vodafone
VOD
$37.4B
$1K ﹤0.01%
31
-151
-83% -$5.04K
WPM icon
793
Wheaton Precious Metals
WPM
$60.9B
$1K ﹤0.01%
83
-100
-55% -$2.49K
WTRG icon
794
Essential Utilities
WTRG
$11.4B
$1K ﹤0.01%
+47
New +$1.15K
ONIT
795
Onity Group
ONIT
$332M
$1K ﹤0.01%
4
– –
TUP
796
DELISTED
Tupperware Brands Corporation
TUP
$1K ﹤0.01%
26
– –
CHS
797
DELISTED
Chicos FAS, Inc.
CHS
$1K ﹤0.01%
70
– –
RPT
798
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
$1K ﹤0.01%
88
– –
MMP
799
DELISTED
Magellan Midstream Partners, L.P.
MMP
$1K ﹤0.01%
13
-628
-98% -$52.2K
PDCE
800
DELISTED
PDC Energy, Inc.
PDCE
$1K ﹤0.01%
30
– –
30 31
32
33 34

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NFG
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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.