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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
PNFP icon
951
Pinnacle Financial Partners Inc
PNFP
$15.8B
$5K ﹤0.01%
100
– –
RWK icon
952
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.34B
$5K ﹤0.01%
100
– –
SDOG icon
953
ALPS Sector Dividend Dogs ETF
SDOG
$1.43B
$5K ﹤0.01%
139
+1
+0.7% +$41
SIG icon
954
Signet Jewelers
SIG
$3.76B
$5K ﹤0.01%
73
– –
SSL icon
955
Sasol
SSL
$7.1B
$5K ﹤0.01%
219
-7
-3% -$189
TLT icon
956
iShares 20+ Year Treasury Bond ETF
TLT
$41.7B
$5K ﹤0.01%
43
– –
TV icon
957
Televisa
TV
$1.49B
$5K ﹤0.01%
227
-8
-3% -$211
VOX icon
958
Vanguard Communication Services ETF
VOX
$5.76B
$5K ﹤0.01%
53
-500
-90% -$48.5K
WBD icon
959
Warner Bros
WBD
$67.1B
$5K ﹤0.01%
197
– –
WIW
960
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$513M
$5K ﹤0.01%
451
– –
WOLF icon
961
Wolfspeed
WOLF
$1.71B
$5K ﹤0.01%
198
– –
WTW icon
962
Willis Towers Watson
WTW
$32B
$5K ﹤0.01%
38
+4
+12% +$498
CPAY icon
963
Corpay
CPAY
$25.7B
$5K ﹤0.01%
33
– –
BECN
964
DELISTED
Beacon Roofing Supply, Inc.
BECN
$5K ﹤0.01%
142
– –
MIC
965
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$5K ﹤0.01%
69
– –
INWK
966
DELISTED
InnerWorkings, Inc.
INWK
$5K ﹤0.01%
619
– –
APU
967
DELISTED
AmeriGas Partners, L.P.
APU
$5K ﹤0.01%
124
+2
+2% +$93
ZLTQ
968
DELISTED
ZELTIQ Aesthetics, Inc.
ZLTQ
$5K ﹤0.01%
+145
New +$5.18K
HAR
969
DELISTED
Harman International Industries
HAR
$5K ﹤0.01%
71
– –
ATVI
970
DELISTED
Activision Blizzard
ATVI
$5K ﹤0.01%
120
– –
CEO
971
DELISTED
CNOOC Limited
CEO
$5K ﹤0.01%
43
-1
-2% -$123
SPLS
972
DELISTED
Staples Inc
SPLS
$5K ﹤0.01%
675
– –
KNGT
973
DELISTED
KNIGHT TRANSPORTATION INC
KNGT
$5K ﹤0.01%
200
– –
ACGL icon
974
Arch Capital
ACGL
$33.6B
$4K ﹤0.01%
165
+57
+53% +$1.45K
AMX icon
975
America Movil
AMX
$71.2B
$4K ﹤0.01%
421
– –
37 38
39
40 41

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TU
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NFG
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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
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
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.