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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
+3.57%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$878M
AUM Growth
+$50.8M
Cap. Flow
+$12.8M
Cap. Flow %
1.46%
Top 10 Hldgs %
47.08%
Holding
1,346
New
83
Increased
259
Reduced
310
Closed
70

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$13.1M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$11.3M
3
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$6.91M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.07M
5
RTX icon
RTX Corp
RTX
+$4.07M

Top Sells

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$14.9M
2
DD icon
DuPont de Nemours
DD
+$7.88M
3
XIVH
VelocityShares VIX Short Volatility Hedged ETN
XIVH
+$3.8M
4
DD
Du Pont De Nemours E I
DD
+$1.5M
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$1.33M

Sector Composition

Rank Sector Weight
1 Financials 8.75%
2 Technology 5.53%
3 Healthcare 3.99%
4 Energy 3.84%
5 Industrials 3.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BSCH
826
DELISTED
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
$10K ﹤0.01%
485
– –
WES
827
DELISTED
Western Gas Partners Lp
WES
$10K ﹤0.01%
200
– –
AMLP icon
828
Alerian MLP ETF
AMLP
$12.8B
$9K ﹤0.01%
160
– –
ASM
829
Avino Silver & Gold Mines
ASM
$1.2B
$9K ﹤0.01%
+5,800
New +$9.53K
BBWI icon
830
Bath & Body Works
BBWI
$4.1B
$9K ﹤0.01%
262
– –
BGY icon
831
BlackRock Enhanced International Dividend Trust
BGY
$529M
$9K ﹤0.01%
1,399
– –
CGNX icon
832
Cognex
CGNX
$11.3B
$9K ﹤0.01%
156
– –
CSQ icon
833
Calamos Strategic Total Return Fund
CSQ
$3.35B
$9K ﹤0.01%
733
– –
ESS icon
834
Essex Property Trust
ESS
$18.5B
$9K ﹤0.01%
38
– –
FSM icon
835
Fortuna Silver Mines
FSM
$3.07B
$9K ﹤0.01%
+2,055
New +$9.63K
KB icon
836
KB Financial Group
KB
$43.5B
$9K ﹤0.01%
196
-53
-21% -$2.64K
KMPR icon
837
Kemper
KMPR
$1.68B
$9K ﹤0.01%
180
– –
MCR
838
DELISTED
MFS Charter Income Trust
MCR
$9K ﹤0.01%
1,085
-6,493
-86% -$56.1K
MMU
839
Western Asset Managed Municipals Fund
MMU
$554M
$9K ﹤0.01%
700
– –
MNST icon
840
Monster Beverage
MNST
$88.4B
$9K ﹤0.01%
360
– –
MRC
841
DELISTED
MRC Global
MRC
$9K ﹤0.01%
500
– –
NOV icon
842
NOV
NOV
$7B
$9K ﹤0.01%
266
– –
PEG icon
843
Public Service Enterprise Group
PEG
$37.7B
$9K ﹤0.01%
208
– –
PRO
844
DELISTED
PROS Holdings
PRO
$9K ﹤0.01%
369
+80
+28% +$2.13K
STX icon
845
Seagate
STX
$184B
$9K ﹤0.01%
273
– –
TECH icon
846
Bio-Techne
TECH
$11.3B
$9K ﹤0.01%
300
-800
-73% -$23.7K
JBTM
847
JBT Marel
JBTM
$6.39B
$9K ﹤0.01%
92
– –
MGU
848
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$9K ﹤0.01%
366
– –
NNC
849
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
$9K ﹤0.01%
727
– –
ISCA
850
DELISTED
International Speedway Corp
ISCA
$9K ﹤0.01%
260
– –
32 33
34
35 36

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RFA
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Carroll Financial Associates's Q3 2017 Portfolio in Review

As of Q3 2017, Carroll Financial Associates held 1,346 positions worth $878M, up 6.1% from $827M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q3 2017 filing shows 83 new, 259 increased, 310 reduced and 70 closed positions. Its largest new stake was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M. The largest sale was iShares MSCI USA Momentum Factor ETF, an estimated $14.9M.

By sector, the portfolio is most concentrated in Financials at 8.7% of assets, down from 8.9% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2017 buy was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q3 2017, an estimated $13.1M increase.
  • Carroll Financial Associates's biggest Q3 2017 reduction was iShares MSCI USA Momentum Factor ETF, cutting an estimated $14.9M.
  • Carroll Financial Associates fully exited DuPont de Nemours in Q3 2017, selling an estimated $7.88M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $878M portfolio in Q3 2017.
  • Carroll Financial Associates opened 83 new positions and closed 70 in Q3 2017.
  • Carroll Financial Associates's portfolio value rose 6.1% quarter-over-quarter to $878M.

Based on Carroll Financial Associates's 13F filing for Q3 2017, filed 25 Oct 2017.