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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
NNC
976
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
– –
-4,013
Closed -$53K
GM.WS.B
977
DELISTED
General Motors Company
GM.WS.B
$0 ﹤0.01%
27
-93
-78% -$1.6K
RDC
978
DELISTED
Rowan Companies Plc
RDC
$0 ﹤0.01%
35
– –
AFSI
979
DELISTED
AmTrust Financial Services, Inc.
AFSI
– –
-1,452
Closed -$30K
EDGW
980
DELISTED
Edgewater Technology Inc
EDGW
$0 ﹤0.01%
100
– –
GPT
981
DELISTED
Gramercy Property Trust
GPT
– –
-24
Closed –
PHH
982
DELISTED
PHH Corporation
PHH
– –
-32
Closed -$1K
FCRE
983
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
– –
0
– –
FINL
984
DELISTED
Finish Line
FINL
$0 ﹤0.01%
25
– –
GXP
985
DELISTED
Great Plains Energy Incorporated
GXP
$0 ﹤0.01%
34
– –
ACTA
986
DELISTED
Actua Corp
ACTA
$0 ﹤0.01%
1
– –
TIME
987
DELISTED
Time Inc.
TIME
$0 ﹤0.01%
36
– –
HSNI
988
DELISTED
HSN, Inc.
HSNI
$0 ﹤0.01%
3
-11
-79% -$647
PMC
989
DELISTED
PharMerica Corporation
PMC
$0 ﹤0.01%
27
– –
WBMD
990
DELISTED
WebMD Health Corp.
WBMD
$0 ﹤0.01%
3
– –
AIII
991
DELISTED
ACRE Realty Investors Inc
AIII
– –
-5,141
Closed -$4K
UTEK
992
DELISTED
Ultratech Inc.
UTEK
$0 ﹤0.01%
13
– –
SWC
993
DELISTED
Stillwater Mining Co
SWC
– –
-100
Closed -$2K
ELNK
994
DELISTED
EarthLink Holdings Corp.
ELNK
– –
-100
Closed –
IQNT
995
DELISTED
Inteliquent, Inc.
IQNT
$0 ﹤0.01%
30
– –
ITC
996
DELISTED
ITC HOLDINGS CORP
ITC
– –
-3,600
Closed -$131K
SMT
997
DELISTED
SMART TECHNOLOGIES INC COM NEW
SMT
– –
-20
Closed -$1K
WPG
998
DELISTED
Washington Prime Group Inc.
WPG
$0 ﹤0.01%
6
– –
FMER
999
DELISTED
FIRSTMERIT CORP
FMER
$0 ﹤0.01%
24
– –
RSE
1000
DELISTED
ROUSE PPTYS INC COM (DE)
RSE
$0 ﹤0.01%
19
– –
38 39
40
41 42

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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 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.