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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
PBPB
901
DELISTED
Potbelly
PBPB
– –
-150
Closed -$2K
PBR icon
902
Petrobras
PBR
$116B
$0 ﹤0.01%
32
– –
PCN
903
PIMCO Corporate & Income Strategy Fund
PCN
$885M
– –
-2,100
Closed -$36K
PCY icon
904
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.4B
$0 ﹤0.01%
32
– –
PFN
905
PIMCO Income Strategy Fund II
PFN
$703M
– –
-118
Closed -$1K
PHD
906
DELISTED
Pioneer Floating Rate Fund
PHD
$0 ﹤0.01%
6
-37
-86% -$451
PHK
907
PIMCO High Income Fund
PHK
$880M
– –
-7
Closed –
PIPR icon
908
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
-4
-20% -$53
PLD icon
909
Prologis
PLD
$133B
– –
-67
Closed -$3K
PLPC icon
910
Preformed Line Products
PLPC
$2.28B
– –
-1,300
Closed -$70K
PLUG icon
911
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
10
– –
PML
912
PIMCO Municipal Income Fund II
PML
$493M
$0 ﹤0.01%
7
– –
PPT
913
Franklin Premier Income Trust
PPT
$328M
$0 ﹤0.01%
139
– –
PRGO icon
914
Perrigo
PRGO
$1.78B
– –
-25
Closed -$4K
PRTA icon
915
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
PSEC icon
916
Prospect Capital
PSEC
$1.17B
– –
-1,717
Closed -$18K
PTH icon
917
Invesco Dorsey Wright Healthcare Momentum ETF
PTH
$239M
– –
-1,770
Closed -$29K
RGLD icon
918
Royal Gold
RGLD
$19.5B
– –
-210
Closed -$16K
RGT
919
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
RHI icon
920
Robert Half
RHI
$4.37B
$0 ﹤0.01%
5
– –
RIG icon
921
Transocean
RIG
$5.82B
$0 ﹤0.01%
13
-25
-66% -$978
RWX icon
922
State Street SPDR Dow Jones International Real Estate ETF
RWX
$270M
$0 ﹤0.01%
19
– –
RYAM icon
923
Rayonier Advanced Materials
RYAM
$610M
$0 ﹤0.01%
+15
New +$526
SBSW icon
924
Sibanye-Stillwater
SBSW
$7.53B
$0 ﹤0.01%
29
– –
SCHA icon
925
Schwab U.S Small- Cap ETF
SCHA
$23.1B
$0 ﹤0.01%
16
– –
35 36
37
38 39

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TU
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NFG
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6M
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RFA
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CCT
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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
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.