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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
+3.28%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$598M
AUM Growth
+$59.6M
Cap. Flow
+$43.1M
Cap. Flow %
7.2%
Top 10 Hldgs %
43.55%
Holding
1,314
New
74
Increased
273
Reduced
187
Closed
72

Top Buys

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$11.8M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.4M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.35M
4
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$5M
5
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$2.91M

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.79M
2
GE icon
GE Aerospace
GE
+$1.61M
3
KMI icon
Kinder Morgan
KMI
+$1.27M
4
PACW
PacWest Bancorp
PACW
+$702K
5
BDCS
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
+$633K

Sector Composition

Rank Sector Weight
1 Financials 9.27%
2 Technology 5.91%
3 Energy 5.03%
4 Healthcare 4.76%
5 Consumer Staples 4.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NFJ
901
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.43B
$6K ﹤0.01%
+500
New +$6.17K
PFN
902
PIMCO Income Strategy Fund II
PFN
$703M
$6K ﹤0.01%
698
+580
+492% +$5.19K
POWL icon
903
Powell Industries
POWL
$7.71B
$6K ﹤0.01%
510
– –
PRAA icon
904
PRA Group
PRAA
$755M
$6K ﹤0.01%
257
– –
SIG icon
905
Signet Jewelers
SIG
$3.76B
$6K ﹤0.01%
73
-5
-6% -$508
SLM icon
906
SLM Corp
SLM
$5.15B
$6K ﹤0.01%
1,000
– –
SPR
907
DELISTED
Spirit AeroSystems
SPR
$6K ﹤0.01%
150
– –
SSL icon
908
Sasol
SSL
$7.1B
$6K ﹤0.01%
226
– –
TFI icon
909
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.14B
$6K ﹤0.01%
133
– –
TV icon
910
Televisa
TV
$1.49B
$6K ﹤0.01%
+235
New +$6.2K
BECN
911
DELISTED
Beacon Roofing Supply, Inc.
BECN
$6K ﹤0.01%
142
– –
WAIR
912
DELISTED
WESCO Aircraft Holdings Inc.
WAIR
$6K ﹤0.01%
500
– –
WPZ
913
DELISTED
Williams Partners L.P.
WPZ
$6K ﹤0.01%
179
– –
AAL icon
914
American Airlines Group
AAL
$10.6B
$5K ﹤0.01%
196
– –
AMX icon
915
America Movil
AMX
$71.2B
$5K ﹤0.01%
421
+131
+45% +$1.75K
AWK icon
916
American Water Works
AWK
$26.9B
$5K ﹤0.01%
65
– –
BBVA icon
917
Banco Bilbao Vizcaya Argentaria
BBVA
$156B
$5K ﹤0.01%
1,042
-251
-19% -$1.58K
BRO icon
918
Brown & Brown
BRO
$23.9B
$5K ﹤0.01%
294
– –
CE icon
919
Celanese
CE
$4.82B
$5K ﹤0.01%
90
-10
-10% -$695
CGNX icon
920
Cognex
CGNX
$11.3B
$5K ﹤0.01%
256
– –
DAL icon
921
Delta Air Lines
DAL
$60.1B
$5K ﹤0.01%
151
– –
DBL
922
DoubleLine Opportunistic Credit Fund
DBL
$280M
$5K ﹤0.01%
218
– –
GDX icon
923
VanEck Gold Miners ETF
GDX
$27.4B
$5K ﹤0.01%
215
– –
HIW icon
924
Highwoods Properties
HIW
$3.47B
$5K ﹤0.01%
100
– –
HSBC icon
925
HSBC
HSBC
$356B
$5K ﹤0.01%
+180
New +$5.09K
35 36
37
38 39

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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
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CCT
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C
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CC
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RM
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Carroll Financial Associates's Q2 2016 Portfolio in Review

As of Q2 2016, Carroll Financial Associates held 1,314 positions worth $598M, up 11% from $538M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $43.1M of net new capital in Q2 2016, opening 74 new positions and adding to 273 existing holdings. Its largest new stake was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.

By sector, the portfolio is most concentrated in Financials at 9.3% of assets, down from 9.8% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares MSCI USA Min Vol Factor ETF, an estimated $5.79M trimmed.

  • Carroll Financial Associates's largest Q2 2016 buy was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.
  • Carroll Financial Associates added most to iShares MSCI USA Momentum Factor ETF in Q2 2016, an estimated $11.8M increase.
  • Carroll Financial Associates's biggest Q2 2016 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $5.79M.
  • Carroll Financial Associates fully exited UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com in Q2 2016, selling an estimated $633K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $598M portfolio in Q2 2016.
  • Carroll Financial Associates opened 74 new positions and closed 72 in Q2 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $598M.

Based on Carroll Financial Associates's 13F filing for Q2 2016, filed 18 Jul 2016.