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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
PPH icon
801
VanEck Pharmaceutical ETF
PPH
$938M
$11K ﹤0.01%
200
– –
RELX icon
802
RELX
RELX
$62B
$11K ﹤0.01%
579
– –
RVT icon
803
Royce Value Trust
RVT
$2.3B
$11K ﹤0.01%
917
+8
+0.9% +$100
SIRI icon
804
SiriusXM
SIRI
$10.1B
$11K ﹤0.01%
264
+240
+1,000% +$10K
TD icon
805
Toronto Dominion Bank
TD
$200B
$11K ﹤0.01%
270
– –
TM icon
806
Toyota
TM
$225B
$11K ﹤0.01%
100
– –
LSXMA
807
DELISTED
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
$11K ﹤0.01%
+464
New +$11.3K
LM
808
DELISTED
Legg Mason, Inc.
LM
$11K ﹤0.01%
342
– –
BSCI
809
DELISTED
Invesco BulletShares 2018 Corporate Bond ETF
BSCI
$11K ﹤0.01%
520
– –
WES
810
DELISTED
Western Gas Partners Lp
WES
$11K ﹤0.01%
200
– –
ABEV icon
811
Ambev
ABEV
$46.4B
$10K ﹤0.01%
1,751
-13
-0.7% -$78
AEG icon
812
Aegon
AEG
$14.1B
$10K ﹤0.01%
3,596
-128
-3% -$382
ANSS
813
DELISTED
Ansys
ANSS
$10K ﹤0.01%
113
– –
BKNG icon
814
Booking.com
BKNG
$161B
$10K ﹤0.01%
175
– –
CBRE icon
815
CBRE Group
CBRE
$42.9B
$10K ﹤0.01%
380
+16
+4% +$457
CHE icon
816
Chemed
CHE
$7.22B
$10K ﹤0.01%
73
– –
E icon
817
ENI
E
$77.5B
$10K ﹤0.01%
360
+71
+25% +$2.16K
EQT icon
818
EQT Corp
EQT
$32.3B
$10K ﹤0.01%
276
– –
HEI icon
819
HEICO Corp
HEI
$51.4B
$10K ﹤0.01%
366
+110
+43% +$3.11K
KB icon
820
KB Financial Group
KB
$43.5B
$10K ﹤0.01%
309
– –
NOV icon
821
NOV
NOV
$7B
$10K ﹤0.01%
290
-140
-33% -$4.7K
TCPC icon
822
BlackRock TCP Capital
TCPC
$345M
$10K ﹤0.01%
650
– –
UNIT
823
Uniti Group
UNIT
$2.32B
$10K ﹤0.01%
320
– –
WPM icon
824
Wheaton Precious Metals
WPM
$60.9B
$10K ﹤0.01%
+400
New +$11K
PAMT
825
PAMT Corp
PAMT
$297M
$10K ﹤0.01%
+2,000
New +$9.55K
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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C
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CC
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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.