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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
SO icon
76
Southern Company
SO
$107B
$703K 0.22%
14,781
-8,698
-37% -$382K
WT icon
77
WisdomTree
WT
$3.22B
$695K 0.21%
43,550
-6,350
-13% -$72.2K
KMI icon
78
Kinder Morgan
KMI
$68.7B
$686K 0.21%
17,800
-4,245
-19% -$161K
MO icon
79
Altria Group
MO
$114B
$676K 0.21%
13,697
-909
-6% -$38.9K
RCAP
80
DELISTED
RCS CAPITAL CORPORATION CLASS A COM
RCAP
$670K 0.21%
+60,000
New +$1.32M
BMY icon
81
Bristol-Myers Squibb
BMY
$132B
$654K 0.2%
11,150
+500
+5% +$25K
SPLV icon
82
Invesco S&P 500 Low Volatility ETF
SPLV
$7.21B
$643K 0.2%
17,306
+470
+3% +$16.5K
BHI
83
DELISTED
Baker Hughes
BHI
$637K 0.2%
12,376
-3,858
-24% -$269K
FEZ icon
84
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.55B
$625K 0.19%
16,500
-56,820
-77% -$2.34M
RIO icon
85
Rio Tinto
RIO
$164B
$624K 0.19%
13,086
-1,900
-13% -$105K
BDCL
86
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$602K 0.19%
25,300
-100
-0.4% -$2.65K
SLB icon
87
SLB Ltd
SLB
$75B
$598K 0.18%
6,086
+365
+6% +$39.8K
DVY icon
88
iShares Select Dividend ETF
DVY
$23.6B
$593K 0.18%
7,537
+560
+8% +$42.2K
V icon
89
Visa
V
$677B
$585K 0.18%
9,376
-28
-0.3% -$1.5K
MLPL
90
DELISTED
UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN
MLPL
$545K 0.17%
8,300
+3,850
+87% +$269K
EEMV icon
91
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.56B
$513K 0.16%
8,640
-13,900
-62% -$857K
VZ icon
92
Verizon
VZ
$196B
$511K 0.16%
10,108
-2,109
-17% -$105K
PM icon
93
Philip Morris
PM
$295B
$506K 0.16%
5,749
-5,322
-48% -$450K
BDX icon
94
Becton Dickinson
BDX
$48.7B
$498K 0.15%
3,969
-410
-9% -$46.8K
MRK icon
95
Merck
MRK
$318B
$485K 0.15%
8,566
+1,871
+28% +$105K
PGHY icon
96
Invesco Global ex-US High Yield Corporate Bond ETF
PGHY
$227M
$481K 0.15%
20,000
+7,000
+54% +$171K
SCG
97
DELISTED
Scana
SCG
$458K 0.14%
8,047
-2,129
-21% -$109K
SWN
98
DELISTED
Southwestern Energy Company
SWN
$456K 0.14%
12,900
+6,400
+98% +$256K
IEV icon
99
iShares Europe ETF
IEV
$1.7B
$433K 0.13%
9,830
-495
-5% -$23.2K
VV icon
100
Vanguard Morningstar Large-Cap ETF
VV
$54.3B
$430K 0.13%
4,599
– –
2 3
4
5 6

Similar funds

TU
TDAM USA Toronto, Ontario, Canada $1.61B AUM 28.05% 1-Year Est. Return
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
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
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
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

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.