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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
IVTY
926
DELISTED
Invuity, Inc
IVTY
$6K ﹤0.01%
+500
New +$5.94K
PRXL
927
DELISTED
Parexel International Corp
PRXL
$6K ﹤0.01%
89
– –
MORE
928
DELISTED
Monogram Residential Trust, Inc.
MORE
$6K ﹤0.01%
592
-2,760
-82% -$28.7K
AIII
929
DELISTED
ACRE Realty Investors Inc
AIII
$6K ﹤0.01%
5,141
– –
COB
930
DELISTED
CommunityOne Bancorp
COB
$6K ﹤0.01%
473
+458
+3,053% +$6.05K
WPZ
931
DELISTED
Williams Partners L.P.
WPZ
$6K ﹤0.01%
179
– –
PRMW
932
DELISTED
Primo Water Corporation
PRMW
$6K ﹤0.01%
+500
New +$5.89K
AMP icon
933
Ameriprise Financial
AMP
$48.8B
$5K ﹤0.01%
+60
New +$5.81K
BBVA icon
934
Banco Bilbao Vizcaya Argentaria
BBVA
$156B
$5K ﹤0.01%
1,009
-33
-3% -$191
CPRT icon
935
Copart
CPRT
$27.5B
$5K ﹤0.01%
816
– –
DAL icon
936
Delta Air Lines
DAL
$60.1B
$5K ﹤0.01%
151
– –
DBL
937
DoubleLine Opportunistic Credit Fund
DBL
$280M
$5K ﹤0.01%
218
– –
DVA icon
938
DaVita
DVA
$11.7B
$5K ﹤0.01%
89
-219
-71% -$15.4K
FWONK icon
939
Liberty Media Series C
FWONK
$25.8B
$5K ﹤0.01%
+203
New +$4.44K
GDX icon
940
VanEck Gold Miners ETF
GDX
$27.4B
$5K ﹤0.01%
215
– –
GRFS
941
Grifois
GRFS
$5.4B
$5K ﹤0.01%
366
-12
-3% -$198
HACK icon
942
Amplify Cybersecurity ETF
HACK
$2.9B
$5K ﹤0.01%
181
– –
INTU icon
943
Intuit
INTU
$89B
$5K ﹤0.01%
54
– –
IWN icon
944
iShares Russell 2000 Value ETF
IWN
$14.6B
$5K ﹤0.01%
+53
New +$5.43K
KRG icon
945
Kite Realty
KRG
$5.36B
$5K ﹤0.01%
213
– –
MCR
946
DELISTED
MFS Charter Income Trust
MCR
$5K ﹤0.01%
585
– –
MDY icon
947
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.3B
$5K ﹤0.01%
+20
New +$5.63K
NOBL icon
948
ProShares S&P 500 Dividend Aristocrats ETF
NOBL
$12B
$5K ﹤0.01%
186
– –
NVRI icon
949
Enviri
NVRI
$620M
$5K ﹤0.01%
598
– –
PHI icon
950
PLDT
PHI
$4.33B
$5K ﹤0.01%
162
+2
+1% +$81
36 37
38
39 40

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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
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
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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 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.