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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
E icon
851
ENI
E
$77.5B
– –
-40
Closed -$2K
ELP
852
DELISTED
Companhia Paranaense de Energia (COPEL)
ELP
$0 ﹤0.01%
30
– –
EMB icon
853
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.7B
– –
-4
Closed –
EOI
854
Eaton Vance Enhanced Equity Income Fund
EOI
$826M
$0 ﹤0.01%
9
– –
ERC
855
Allspring Multi-Sector Income Fund
ERC
$259M
– –
-20
Closed –
ERIC icon
856
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
25
– –
ETJ
857
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$575M
– –
-46,000
Closed -$531K
EWBC icon
858
East-West Bancorp
EWBC
$18B
$0 ﹤0.01%
4
– –
FCEL icon
859
FuelCell Energy
FCEL
$1.63B
– –
0
– –
FCF icon
860
First Commonwealth Financial
FCF
$2.17B
– –
-875
Closed -$8K
FXA icon
861
Invesco CurrencyShares Australian Dollar Trust
FXA
$98M
– –
-125
Closed -$12K
GD icon
862
General Dynamics
GD
$106B
– –
-46
Closed -$5K
GFI icon
863
Gold Fields
GFI
$36.5B
$0 ﹤0.01%
109
– –
GLO
864
Clough Global Opportunities Fund
GLO
$257M
– –
-270
Closed -$4K
GRMN
865
Garmin
GRMN
$60B
– –
-100
Closed -$6K
HI
866
DELISTED
Hillenbrand
HI
– –
-376
Closed -$12K
HIW icon
867
Highwoods Properties
HIW
$3.47B
– –
-100
Closed -$4K
HRB icon
868
H&R Block
HRB
$5.86B
– –
-318
Closed -$11K
HYS icon
869
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.75B
– –
-450
Closed -$48K
HYT icon
870
BlackRock Corporate High Yield Fund
HYT
$1.37B
$0 ﹤0.01%
39
-122
-76% -$1.47K
IART icon
871
Integra LifeSciences
IART
$1.34B
$0 ﹤0.01%
34
– –
IAT icon
872
iShares US Regional Banks ETF
IAT
$681M
– –
-5,070
Closed -$176K
IEP icon
873
Icahn Enterprises
IEP
$5.3B
$0 ﹤0.01%
8
– –
IJR icon
874
iShares Core S&P Small-Cap ETF
IJR
$112B
– –
-1,200
Closed -$67K
IRWD icon
875
Ironwood Pharmaceuticals
IRWD
$714M
– –
-1,194
Closed -$15K
33 34
35
36 37

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NFG
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6M
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RFA
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CCT
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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.