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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
+5.33%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$480M
AUM Growth
+$29.3M
Cap. Flow
+$33.2M
Cap. Flow %
6.9%
Top 10 Hldgs %
43.82%
Holding
1,246
New
78
Increased
268
Reduced
227
Closed
63

Top Buys

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$13.4M
2
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$12.4M
3
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.78M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.38M
5
GPT
Gramercy Property Trust
GPT
+$3.09M

Top Sells

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$4.88M
2
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$3.95M
3
HTS
HATTERAS FINANCIAL CORP
HTS
+$2.22M
4
SE
Spectra Energy Corp Wi
SE
+$1.92M
5
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.58M

Sector Composition

Rank Sector Weight
1 Financials 11.29%
2 Technology 7.22%
3 Energy 5.11%
4 Consumer Staples 4.93%
5 Healthcare 4.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RTX icon
76
RTX Corp
RTX
$301B
$1.04M 0.22%
17,284
+252
+1% +$15.2K
UN
77
DELISTED
Unilever NV New York Registry Shares
UN
$1.03M 0.21%
23,684
-371
-2% -$16.3K
DD
78
DELISTED
Du Pont De Nemours E I
DD
$1.02M 0.21%
15,361
-1,931
-11% -$123K
VUG icon
79
Vanguard Morningstar Growth ETF
VUG
$231B
$992K 0.21%
55,992
– –
BMY icon
80
Bristol-Myers Squibb
BMY
$132B
$977K 0.2%
14,212
-756
-5% -$50K
NUE icon
81
Nucor
NUE
$62.1B
$954K 0.2%
23,683
-1,514
-6% -$62.2K
PACW
82
DELISTED
PacWest Bancorp
PACW
$928K 0.19%
21,542
– –
LRFC
83
DELISTED
Logan Ridge Finance Corp
LRFC
$918K 0.19%
12,667
+500
+4% +$40.2K
SCG
84
DELISTED
Scana
SCG
$908K 0.19%
15,017
-663
-4% -$38.9K
COP icon
85
ConocoPhillips
COP
$141B
$897K 0.19%
19,213
+250
+1% +$13.1K
VTI icon
86
Vanguard Morningstar Total Stock Market ETF
VTI
$684B
$884K 0.18%
8,477
+56
+0.7% +$5.9K
PGX icon
87
Invesco Preferred ETF
PGX
$3.79B
$882K 0.18%
59,053
-150
-0.3% -$2.21K
IBB icon
88
iShares Biotechnology ETF
IBB
$9.77B
$874K 0.18%
7,752
+108
+1% +$11.7K
MDT icon
89
Medtronic
MDT
$112B
$868K 0.18%
11,285
-273
-2% -$20.6K
AUB icon
90
Atlantic Union Bankshares
AUB
$5.97B
$858K 0.18%
34,011
– –
IJH icon
91
iShares Core S&P Mid-Cap ETF
IJH
$127B
$834K 0.17%
29,955
-1,000
-3% -$28.6K
DBJP icon
92
Xtrackers MSCI Japan Hedged Equity ETF
DBJP
$705M
$821K 0.17%
21,570
+4,750
+28% +$187K
LNC icon
93
Lincoln National
LNC
$8.81B
$801K 0.17%
15,942
+99
+0.6% +$5.18K
V icon
94
Visa
V
$677B
$788K 0.16%
10,167
+268
+3% +$20.8K
AMJ
95
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$756K 0.16%
26,108
-158,884
-86% -$4.88M
RY icon
96
Royal Bank of Canada
RY
$293B
$754K 0.16%
14,085
-63
-0.4% -$3.53K
DVY icon
97
iShares Select Dividend ETF
DVY
$23.6B
$749K 0.16%
9,979
-959
-9% -$72.9K
VTV icon
98
Vanguard Morningstar Value ETF
VTV
$191B
$749K 0.16%
9,199
-1,642
-15% -$135K
AMGN icon
99
Amgen
AMGN
$222B
$736K 0.15%
4,540
-897
-16% -$141K
OXY icon
100
Occidental Petroleum
OXY
$55.9B
$686K 0.14%
10,170
-172
-2% -$12.4K
2 3
4
5 6

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TU
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NFG
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6M
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RFA
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CCT
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C
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CC
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RM
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Carroll Financial Associates's Q4 2015 Portfolio in Review

As of Q4 2015, Carroll Financial Associates held 1,246 positions worth $480M, up 6.5% from $451M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $33.2M of net new capital in Q4 2015, opening 78 new positions and adding to 268 existing holdings. Its largest new stake was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was JP Morgan Alerian MLP Index ETN 5/24/24, an estimated $4.88M trimmed.

  • Carroll Financial Associates's largest Q4 2015 buy was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q4 2015, an estimated $13.4M increase.
  • Carroll Financial Associates's biggest Q4 2015 reduction was JP Morgan Alerian MLP Index ETN 5/24/24, cutting an estimated $4.88M.
  • Carroll Financial Associates fully exited CHAMBERS STR PPTYS COM in Q4 2015, selling an estimated $1.58M.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $480M portfolio in Q4 2015.
  • Carroll Financial Associates opened 78 new positions and closed 63 in Q4 2015.
  • Carroll Financial Associates's portfolio value rose 6.5% quarter-over-quarter to $480M.

Based on Carroll Financial Associates's 13F filing for Q4 2015, filed 12 Jan 2016.