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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
NTT
851
DELISTED
Nippon Telegraph & Telephone
NTT
$9K ﹤0.01%
200
– –
SCTY
852
DELISTED
SolarCity Corporation
SCTY
$9K ﹤0.01%
+500
New +$11.2K
AZO icon
853
AutoZone
AZO
$51.1B
$8K ﹤0.01%
11
– –
BBP icon
854
Virtus Biotech ETF
BBP
$100M
$8K ﹤0.01%
253
– –
BGY icon
855
BlackRock Enhanced International Dividend Trust
BGY
$529M
$8K ﹤0.01%
1,399
– –
BR icon
856
Broadridge
BR
$19B
$8K ﹤0.01%
125
– –
CNP icon
857
CenterPoint Energy
CNP
$26.8B
$8K ﹤0.01%
347
– –
ESS icon
858
Essex Property Trust
ESS
$18.5B
$8K ﹤0.01%
38
– –
EWA icon
859
iShares MSCI Australia ETF
EWA
$1.45B
$8K ﹤0.01%
403
– –
FLR icon
860
Fluor
FLR
$7.96B
$8K ﹤0.01%
158
– –
IYK icon
861
iShares US Consumer Staples ETF
IYK
$1.41B
$8K ﹤0.01%
222
– –
JHI
862
John Hancock Investors Trust
JHI
$117M
$8K ﹤0.01%
+514
New +$8.78K
KRE icon
863
State Street SPDR S&P Regional Banking ETF
KRE
$4.64B
$8K ﹤0.01%
200
-300
-60% -$12.3K
LOPE icon
864
Grand Canyon Education
LOPE
$3.98B
$8K ﹤0.01%
220
– –
MGEE icon
865
MGE Energy Inc
MGEE
$3.08B
$8K ﹤0.01%
150
– –
MNST icon
866
Monster Beverage
MNST
$88.5B
$8K ﹤0.01%
360
– –
MRC
867
DELISTED
MRC Global
MRC
$8K ﹤0.01%
500
– –
PHM icon
868
Pultegroup
PHM
$25.3B
$8K ﹤0.01%
400
– –
PRAA icon
869
PRA Group
PRAA
$755M
$8K ﹤0.01%
257
– –
QSR icon
870
Restaurant Brands International
QSR
$25.8B
$8K ﹤0.01%
194
– –
ROL icon
871
Rollins
ROL
$18.2B
$8K ﹤0.01%
630
– –
RWX icon
872
State Street SPDR Dow Jones International Real Estate ETF
RWX
$270M
$8K ﹤0.01%
201
+182
+958% +$7.65K
STWD icon
873
Starwood Property Trust
STWD
$6.09B
$8K ﹤0.01%
383
– –
WES icon
874
Western Midstream Partners
WES
$19.3B
$8K ﹤0.01%
199
– –
XRX icon
875
Xerox
XRX
$425M
$8K ﹤0.01%
326
– –
33 34
35
36 37

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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 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.