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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
ISCA
876
DELISTED
International Speedway Corp
ISCA
$8K ﹤0.01%
260
– –
WFT
877
DELISTED
Weatherford International plc
WFT
$8K ﹤0.01%
1,496
-13
-0.9% -$74
CAA
878
DELISTED
CalAtlantic Group, Inc.
CAA
$8K ﹤0.01%
250
– –
MJN
879
DELISTED
Mead Johnson Nutrition Company
MJN
$8K ﹤0.01%
106
– –
ESV
880
DELISTED
Ensco Rowan plc
ESV
$8K ﹤0.01%
240
– –
PSXP
881
DELISTED
PHILLIPS 66 PARTNERS LP
PSXP
$8K ﹤0.01%
178
– –
AAL icon
882
American Airlines Group
AAL
$10.6B
$7K ﹤0.01%
196
– –
CSQ icon
883
Calamos Strategic Total Return Fund
CSQ
$3.35B
$7K ﹤0.01%
733
– –
ENOV icon
884
Enovis
ENOV
$1.53B
$7K ﹤0.01%
140
-153
-52% -$7.71K
FLS icon
885
Flowserve
FLS
$10.2B
$7K ﹤0.01%
150
– –
FR icon
886
First Industrial Realty Trust
FR
$8.44B
$7K ﹤0.01%
260
– –
HHH icon
887
Howard Hughes
HHH
$4.03B
$7K ﹤0.01%
66
– –
HRB icon
888
H&R Block
HRB
$5.86B
$7K ﹤0.01%
318
– –
IFF icon
889
International Flavors & Fragrances
IFF
$21.9B
$7K ﹤0.01%
53
– –
KMPR icon
890
Kemper
KMPR
$1.68B
$7K ﹤0.01%
180
– –
LBTYA icon
891
Liberty Global Class A
LBTYA
$3.6B
$7K ﹤0.01%
218
– –
MMS icon
892
Maximus
MMS
$3.1B
$7K ﹤0.01%
129
– –
NEOG icon
893
Neogen
NEOG
$2.5B
$7K ﹤0.01%
363
– –
RYAAY icon
894
Ryanair
RYAAY
$31.3B
$7K ﹤0.01%
265
– –
SLM icon
895
SLM Corp
SLM
$5.15B
$7K ﹤0.01%
1,000
– –
TS icon
896
Tenaris
TS
$26.8B
$7K ﹤0.01%
249
– –
VRNT
897
DELISTED
Verint Systems
VRNT
$7K ﹤0.01%
373
+167
+81% +$3.01K
VRSN icon
898
VeriSign
VRSN
$26.6B
$7K ﹤0.01%
94
– –
WDC icon
899
Western Digital
WDC
$150B
$7K ﹤0.01%
164
– –
WYNN icon
900
Wynn Resorts
WYNN
$10.6B
$7K ﹤0.01%
82
– –
34 35
36
37 38

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TU
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NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

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.