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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
IWD icon
876
iShares Russell 1000 Value ETF
IWD
$83.7B
– –
-1,052
Closed -$107K
IWN icon
877
iShares Russell 2000 Value ETF
IWN
$14.6B
– –
-825
Closed -$85K
IYE icon
878
iShares US Energy ETF
IYE
$1.71B
– –
-122
Closed -$7K
J icon
879
Jacobs Solutions
J
$17B
$0 ﹤0.01%
2
– –
JNPR
880
DELISTED
Juniper Networks
JNPR
– –
-260
Closed -$6K
JPC icon
881
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$0 ﹤0.01%
38
– –
JXI icon
882
iShares Global Utilities ETF
JXI
$311M
– –
-1,111
Closed -$56K
KGC icon
883
Kinross Gold
KGC
$32.8B
– –
-327
Closed -$1K
KIM icon
884
Kimco Realty
KIM
$16.4B
$0 ﹤0.01%
24
– –
KXI icon
885
iShares Global Consumer Staples ETF
KXI
$1.07B
– –
-440
Closed -$20K
LEG icon
886
Leggett & Platt
LEG
$1.31B
– –
-400
Closed -$14K
LINC icon
887
Lincoln Educational Services
LINC
$1.3B
$0 ﹤0.01%
200
– –
MCN
888
Madison Covered Call & Equity Strategy Fund
MCN
$118M
– –
-1,600
Closed -$14K
MCO icon
889
Moody's
MCO
$82.7B
– –
-109
Closed -$10K
MCR
890
DELISTED
MFS Charter Income Trust
MCR
– –
-88
Closed -$1K
MKL icon
891
Markel Group
MKL
$23.2B
– –
-60
Closed -$39K
MLR icon
892
Miller Industries
MLR
$619M
$0 ﹤0.01%
20
– –
MUR icon
893
Murphy Oil
MUR
$4.78B
$0 ﹤0.01%
2
– –
NKX icon
894
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$657M
$0 ﹤0.01%
51
– –
NPK icon
895
National Presto Industries
NPK
$989M
– –
-56
Closed -$4K
NRK icon
896
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$912M
– –
-703
Closed -$9K
NRP icon
897
Natural Resource Partners
NRP
$1.42B
– –
-23
Closed -$4K
NTRS icon
898
Northern Trust
NTRS
$33.9B
– –
-7
Closed –
NWSA icon
899
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
62
-2
-3% -$35
PAG icon
900
Penske Automotive Group
PAG
$14.2B
$0 ﹤0.01%
10
– –
34 35
36
37 38

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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.