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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
RJA
801
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Agriculture Total Return
RJA
$1K ﹤0.01%
200
– –
RJZ
802
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Metals Total Return
RJZ
$1K ﹤0.01%
200
– –
BWLD
803
DELISTED
Buffalo Wild Wings, Inc.
BWLD
$1K ﹤0.01%
10
– –
BRCD
804
DELISTED
Brocade Communications Systems, Inc. NEW
BRCD
$1K ﹤0.01%
125
– –
PNRA
805
DELISTED
Panera Bread Co
PNRA
$1K ﹤0.01%
8
– –
COB
806
DELISTED
CommunityOne Bancorp
COB
$1K ﹤0.01%
107
-7
-6% -$66
FEIC
807
DELISTED
FEI COMPANY
FEIC
$1K ﹤0.01%
14
– –
CVC
808
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
$1K ﹤0.01%
110
– –
ALU
809
DELISTED
Alcatel-Lucent
ALU
$1K ﹤0.01%
435
-963
-69% -$3.28K
CYT
810
DELISTED
CYTEC INDS INC
CYT
$1K ﹤0.01%
24
– –
MWV
811
DELISTED
MEADWESTVACO CORP
MWV
$1K ﹤0.01%
29
– –
RFMD
812
DELISTED
RF MICRO DEVICES INC
RFMD
$1K ﹤0.01%
100
-100
-50% -$1.13K
AWC
813
DELISTED
Alumina Ltd
AWC
$1K ﹤0.01%
+305
New +$1K
BCS.PRA.CL
814
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$1K ﹤0.01%
+50
New +$1.28K
OIL
815
DELISTED
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
$1K ﹤0.01%
60
– –
ACCO icon
816
Acco Brands
ACCO
$407M
$0 ﹤0.01%
16
– –
ACLS icon
817
Axcelis
ACLS
$4.33B
$0 ﹤0.01%
86
– –
ACWI icon
818
iShares MSCI ACWI ETF
ACWI
$33.5B
– –
-3,305
Closed -$199K
AGD
819
abrdn Global Dynamic Dividend Fund
AGD
$320M
– –
-1,000
Closed -$11K
AIVL icon
820
WisdomTree US AI Enhanced Value Fund
AIVL
$436M
– –
-650
Closed -$48K
AL
821
DELISTED
Air Lease Corp
AL
– –
-250
Closed -$10K
AMX icon
822
America Movil
AMX
$71.2B
$0 ﹤0.01%
22
-7,000
-100% -$168K
ARE icon
823
Alexandria Real Estate Equities
ARE
$8.56B
$0 ﹤0.01%
5
– –
AU icon
824
AngloGold Ashanti
AU
$48.7B
$0 ﹤0.01%
49
-171
-78% -$2.79K
AUB icon
825
Atlantic Union Bankshares
AUB
$5.97B
– –
-34,011
Closed -$872K
31 32
33
34 35

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NFG
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6M
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RFA
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CCT
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CC
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RM
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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.