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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
WEC icon
951
WEC Energy
WEC
$35.1B
– –
-285
Closed -$13K
WOLF icon
952
Wolfspeed
WOLF
$1.71B
$0 ﹤0.01%
21
– –
XEL icon
953
Xcel Energy
XEL
$48.8B
– –
-2,065
Closed -$67K
TPC
954
Tutor Perini Cor
TPC
$5.21B
$0 ﹤0.01%
5
– –
ROIC
955
DELISTED
Retail Opportunity Investments Corp.
ROIC
– –
-1,350
Closed -$21K
IMGN
956
DELISTED
Immunogen Inc
IMGN
– –
-500
Closed -$6K
VRTV
957
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
+2
New +$85
AVTA
958
DELISTED
Avantax, Inc. Common Stock
AVTA
$0 ﹤0.01%
10
– –
ABB
959
DELISTED
ABB Ltd
ABB
– –
-87
Closed -$2K
TA
960
DELISTED
TravelCenters of America LLC
TA
– –
-4
Closed –
AUY
961
DELISTED
Yamana Gold, Inc.
AUY
$0 ﹤0.01%
122
– –
CTT
962
DELISTED
CATCHMARK TIMBER TRUST, INC.
CTT
– –
-562
Closed -$8K
PBCT
963
DELISTED
People's United Financial Inc
PBCT
$0 ﹤0.01%
14
– –
NUAN
964
DELISTED
Nuance Communications, Inc.
NUAN
$0 ﹤0.01%
55
– –
MGLN
965
DELISTED
Magellan Health Services, Inc.
MGLN
$0 ﹤0.01%
10
– –
MXIM
966
DELISTED
Maxim Integrated Products
MXIM
– –
-180
Closed -$6K
EV
967
DELISTED
Eaton Vance Corp.
EV
– –
-15,000
Closed -$567K
CCMP
968
DELISTED
CMC Materials, Inc. Common Stock
CCMP
$0 ﹤0.01%
10
– –
PSV
969
DELISTED
Hermitage Offshore Services Ltd.
PSV
$0 ﹤0.01%
+2
New +$380
PER
970
DELISTED
SANDRIDGE PERMIAN TRUST
PER
– –
-2,000
Closed -$25K
WBC
971
DELISTED
WABCO HOLDINGS INC.
WBC
– –
-33
Closed -$4K
JCP
972
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
25
– –
AVP
973
DELISTED
Avon Products, Inc.
AVP
– –
-1,717
Closed -$25K
GWR
974
DELISTED
Genesee & Wyoming Inc.
GWR
– –
-30
Closed -$3K
ASNA
975
DELISTED
Ascena Retail Group, Inc.
ASNA
– –
0
– –
37 38
39
40 41

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6M
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RFA
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CCT
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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.