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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
+5.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$785M
AUM Growth
+$84M
Cap. Flow
+$49.3M
Cap. Flow %
6.28%
Top 10 Hldgs %
45.22%
Holding
1,307
New
75
Increased
250
Reduced
239
Closed
52

Top Buys

Rank Stock Value
1
ENB icon
Enbridge
ENB
+$5.57M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$5.52M
3
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$5.48M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.65M
5
AXP icon
American Express
AXP
+$3.41M

Top Sells

Rank Stock Value
1
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.59M
2
SE
Spectra Energy Corp Wi
SE
+$3.64M
3
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$1.34M
4
VIIX
VelocityShares VIX Short Term ETN
VIIX
+$779K
5
LOB icon
Live Oak Bancshares
LOB
+$752K

Sector Composition

Rank Sector Weight
1 Financials 9.12%
2 Technology 5.75%
3 Energy 4.37%
4 Healthcare 4.06%
5 Industrials 3.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADRA
776
DELISTED
Invesco BLDRS Asia 50 ADR Index Fund
ADRA
$13K ﹤0.01%
450
– –
AKAM icon
777
Akamai
AKAM
$15.9B
$12K ﹤0.01%
216
– –
AMLP icon
778
Alerian MLP ETF
AMLP
$12.8B
$12K ﹤0.01%
200
+20
+11% +$1.28K
ANSS
779
DELISTED
Ansys
ANSS
$12K ﹤0.01%
113
– –
ASH icon
780
Ashland
ASH
$3.5B
$12K ﹤0.01%
198
– –
CSQ icon
781
Calamos Strategic Total Return Fund
CSQ
$3.35B
$12K ﹤0.01%
1,158
+425
+58% +$4.64K
DEM icon
782
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.98B
$12K ﹤0.01%
300
– –
EMB icon
783
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.7B
$12K ﹤0.01%
111
+5
+5% +$563
HALO icon
784
Halozyme
HALO
$12.2B
$12K ﹤0.01%
1,000
– –
IEF icon
785
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
$12K ﹤0.01%
114
– –
IWV icon
786
iShares Russell 3000 ETF
IWV
$20.3B
$12K ﹤0.01%
91
-70
-43% -$9.66K
KOP icon
787
Koppers
KOP
$969M
$12K ﹤0.01%
301
– –
QSR icon
788
Restaurant Brands International
QSR
$25.8B
$12K ﹤0.01%
229
– –
SLM icon
789
SLM Corp
SLM
$5.15B
$12K ﹤0.01%
1,000
– –
STX icon
790
Seagate
STX
$184B
$12K ﹤0.01%
273
-265
-49% -$11.8K
LSXMA
791
DELISTED
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
$12K ﹤0.01%
446
– –
SFE
792
DELISTED
Safeguard Scientifics, Inc.
SFE
$12K ﹤0.01%
1,000
– –
MUH
793
DELISTED
Blackrock Muniholdings Fund II, Inc.
MUH
$12K ﹤0.01%
775
– –
WES
794
DELISTED
Western Gas Partners Lp
WES
$12K ﹤0.01%
200
– –
CII icon
795
BlackRock Enhanced Captial and Income Fund
CII
$1.02B
$11K ﹤0.01%
806
– –
DAL icon
796
Delta Air Lines
DAL
$60.1B
$11K ﹤0.01%
252
+101
+67% +$4.93K
GDX icon
797
VanEck Gold Miners ETF
GDX
$27.4B
$11K ﹤0.01%
495
+280
+130% +$6.51K
MBB icon
798
iShares MBS ETF
MBB
$39.1B
$11K ﹤0.01%
104
-696
-87% -$74K
NOV icon
799
NOV
NOV
$7B
$11K ﹤0.01%
290
– –
PCG icon
800
PG&E
PCG
$38.5B
$11K ﹤0.01%
172
+72
+72% +$4.59K
30 31
32
33 34

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Carroll Financial Associates's Q1 2017 Portfolio in Review

As of Q1 2017, Carroll Financial Associates held 1,307 positions worth $785M, up 12% from $701M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $49.3M of net new capital in Q1 2017, opening 75 new positions and adding to 250 existing holdings. Its largest new stake was Enbridge: 131,920 shares worth $5.52M.

By sector, the portfolio is most concentrated in Financials at 9.1% of assets, down from 9.5% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, an estimated $5.59M trimmed.

  • Carroll Financial Associates's largest Q1 2017 buy was Enbridge: 131,920 shares worth $5.52M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q1 2017, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q1 2017 reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, cutting an estimated $5.59M.
  • Carroll Financial Associates fully exited Spectra Energy Corp Wi in Q1 2017, selling an estimated $3.64M.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $785M portfolio in Q1 2017.
  • Carroll Financial Associates opened 75 new positions and closed 52 in Q1 2017.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $785M.

Based on Carroll Financial Associates's 13F filing for Q1 2017, filed 11 Apr 2017.