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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
PDCO
901
DELISTED
Patterson Companies, Inc.
PDCO
$7K ﹤0.01%
158
– –
SRCL
902
DELISTED
Stericycle Inc
SRCL
$7K ﹤0.01%
97
– –
TFCFA
903
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$7K ﹤0.01%
315
+177
+128% +$4.53K
ABCO
904
DELISTED
Advisory Board Co
ABCO
$7K ﹤0.01%
160
– –
MBT
905
DELISTED
Mobile TeleSystems Public Joint Stock Company American Depositary Shares (Each representing 2 Shares
MBT
$7K ﹤0.01%
990
– –
BCX icon
906
BlackRock Resources & Commodities Strategy Trust
BCX
$923M
$6K ﹤0.01%
836
– –
CC icon
907
Chemours
CC
$2.37B
$6K ﹤0.01%
379
+120
+46% +$1.37K
CGNX icon
908
Cognex
CGNX
$11.3B
$6K ﹤0.01%
256
– –
DORM icon
909
Dorman Products
DORM
$4.18B
$6K ﹤0.01%
106
– –
IDLV icon
910
Invesco S&P International Developed Low Volatility ETF
IDLV
$348M
$6K ﹤0.01%
213
+2
+0.9% +$61
OPLN
911
Openlane
OPLN
$4.54B
$6K ﹤0.01%
394
– –
MHK icon
912
Mohawk Industries
MHK
$9.22B
$6K ﹤0.01%
34
– –
MIDU icon
913
Direxion Daily Mid Cap Bull 3X ETF
MIDU
$75.6M
$6K ﹤0.01%
257
-1,560
-86% -$42.2K
MOO icon
914
VanEck Agribusiness ETF
MOO
$969M
$6K ﹤0.01%
128
– –
NCV
915
Virtus Convertible & Income Fund
NCV
$390M
$6K ﹤0.01%
247
– –
NFJ
916
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.43B
$6K ﹤0.01%
500
– –
PFN
917
PIMCO Income Strategy Fund II
PFN
$703M
$6K ﹤0.01%
698
– –
SAN icon
918
Banco Santander
SAN
$210B
$6K ﹤0.01%
1,420
+17
+1% +$69
SPR
919
DELISTED
Spirit AeroSystems
SPR
$6K ﹤0.01%
150
– –
TFI icon
920
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.14B
$6K ﹤0.01%
133
– –
UNFI icon
921
United Natural Foods
UNFI
$2.85B
$6K ﹤0.01%
156
– –
JBTM
922
JBT Marel
JBTM
$6.39B
$6K ﹤0.01%
92
– –
FLOW
923
DELISTED
SPX FLOW, Inc.
FLOW
$6K ﹤0.01%
208
– –
WAIR
924
DELISTED
WESCO Aircraft Holdings Inc.
WAIR
$6K ﹤0.01%
500
– –
ZOES
925
DELISTED
Zoe's Kitchen, Inc.
ZOES
$6K ﹤0.01%
300
– –
35 36
37
38 39

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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
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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.