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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
AVNW icon
826
Aviat Networks
AVNW
$273M
$0 ﹤0.01%
4
– –
BB icon
827
BlackBerry
BB
$5.26B
$0 ﹤0.01%
15
– –
BBWI icon
828
Bath & Body Works
BBWI
$4.1B
– –
-124
Closed -$6K
BCV
829
Bancroft Fund
BCV
$139M
– –
-2,169
Closed -$44K
BIP icon
830
Brookfield Infrastructure Partners
BIP
$18B
– –
-3,417
Closed -$57K
BLV icon
831
Vanguard Long-Term Bond ETF
BLV
$5.75B
$0 ﹤0.01%
4
– –
BNS icon
832
Scotiabank
BNS
$108B
– –
-373
Closed -$23K
BTO
833
John Hancock Financial Opportunities Fund
BTO
$803M
– –
-455
Closed -$11K
CACI icon
834
CACI
CACI
$14.2B
$0 ﹤0.01%
4
– –
CALM icon
835
Cal-Maine
CALM
$3.99B
– –
-80
Closed -$3K
CASI
836
DELISTED
CASI Pharmaceuticals
CASI
$0 ﹤0.01%
+1
New +$18
CCEP icon
837
Coca-Cola Europacific Partners
CCEP
$47.9B
– –
-274
Closed -$13K
CCJ icon
838
Cameco
CCJ
$42.4B
– –
-112
Closed -$2K
CIK
839
Credit Suisse Asset Management Income Fund
CIK
$134M
– –
-962
Closed -$4K
CLAR icon
840
Clarus
CLAR
$143M
– –
-25
Closed –
CLH icon
841
Clean Harbors
CLH
$16.3B
– –
-150
Closed -$10K
CM icon
842
Canadian Imperial Bank of Commerce
CM
$108B
– –
-531
Closed -$24K
CMP icon
843
Compass Minerals
CMP
$1.15B
– –
-100
Closed -$10K
CNP icon
844
CenterPoint Energy
CNP
$26.8B
– –
-247
Closed -$6K
CPB icon
845
Campbell Soup
CPB
$6.87B
– –
-243
Closed -$11K
CRNT icon
846
Ceragon Networks
CRNT
$201M
$0 ﹤0.01%
25
– –
DHS icon
847
WisdomTree US High Dividend Fund
DHS
$1.58B
– –
-450
Closed -$27K
DNP icon
848
DNP Select Income Fund
DNP
$4.09B
– –
-3,849
Closed -$40K
DON icon
849
WisdomTree US MidCap Dividend Fund
DON
$4.09B
– –
-1,950
Closed -$53K
DOX icon
850
Amdocs
DOX
$6.22B
– –
-490
Closed -$23K
32 33
34
35 36

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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 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.