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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
SCHB icon
926
Schwab US Broad Market ETF
SCHB
$44.9B
$0 ﹤0.01%
36
– –
SCHE icon
927
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$0 ﹤0.01%
5
– –
SCHF icon
928
Schwab International Equity ETF
SCHF
$68.7B
$0 ﹤0.01%
10
– –
SCHH icon
929
Schwab US REIT ETF
SCHH
$11.4B
$0 ﹤0.01%
8
– –
SGU icon
930
Star Group
SGU
$423M
$0 ﹤0.01%
134
– –
SHM icon
931
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.47B
– –
-200
Closed -$10K
SIRI icon
932
SiriusXM
SIRI
$10.1B
$0 ﹤0.01%
24
– –
SKM icon
933
SK Telecom
SKM
$13.2B
– –
-42
Closed -$1.99K
SMFG icon
934
Sumitomo Mitsui Financial
SMFG
$164B
– –
-340
Closed -$2.79K
SMMU icon
935
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund
SMMU
$1.15B
– –
-200
Closed -$10K
SPDW icon
936
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$41.6B
– –
-200
Closed -$6K
SPXX icon
937
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$344M
– –
-8,000
Closed -$116K
SSD icon
938
Simpson Manufacturing
SSD
$8.16B
$0 ﹤0.01%
10
– –
STRL icon
939
Sterling Infrastructure
STRL
$16.7B
$0 ﹤0.01%
4
– –
STRS icon
940
Stratus Properties
STRS
$154M
$0 ﹤0.01%
60
– –
TRI icon
941
Thomson Reuters
TRI
$44.1B
– –
-49
Closed -$2K
UIS icon
942
Unisys
UIS
$217M
$0 ﹤0.01%
7
– –
USA icon
943
Liberty All-Star Equity Fund
USA
$1.85B
$0 ﹤0.01%
88
+1
+1% +$6
VALE icon
944
Vale
VALE
$62.6B
$0 ﹤0.01%
26
– –
VDE icon
945
Vanguard Energy ETF
VDE
$9.74B
– –
-75
Closed -$11K
VIAV icon
946
Viavi Solutions
VIAV
$9.66B
$0 ﹤0.01%
4
– –
VKI icon
947
Invesco Advantage Municipal Income Trust II
VKI
$401M
– –
-11,700
Closed -$133K
VSS icon
948
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.9B
– –
-20
Closed -$2K
VVX icon
949
V2X
VVX
$2.65B
$0 ﹤0.01%
+11
New +$215
VYX icon
950
NCR Voyix
VYX
$1.14B
$0 ﹤0.01%
42
– –
36 37
38
39 40

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NFG
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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.