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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
ARI
976
Apollo Commercial Real Estate
ARI
$885M
$4K ﹤0.01%
300
– –
AWK icon
977
American Water Works
AWK
$26.9B
$4K ﹤0.01%
65
– –
BLW icon
978
BlackRock Limited Duration Income Trust
BLW
$493M
$4K ﹤0.01%
313
– –
CHH icon
979
Choice Hotels
CHH
$4.8B
$4K ﹤0.01%
100
– –
CPRI icon
980
Capri Holdings
CPRI
$1.74B
$4K ﹤0.01%
100
– –
DEW icon
981
WisdomTree Global High Dividend Fund
DEW
$155M
$4K ﹤0.01%
100
– –
DLB icon
982
Dolby
DLB
$5.79B
$4K ﹤0.01%
75
– –
DSU icon
983
BlackRock Debt Strategies Fund
DSU
$597M
$4K ﹤0.01%
436
– –
EMLC icon
984
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.84B
$4K ﹤0.01%
116
– –
ETY icon
985
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
$2.33B
$4K ﹤0.01%
440
– –
EXG icon
986
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$3.06B
$4K ﹤0.01%
495
– –
GDXJ icon
987
VanEck Junior Gold Miners ETF
GDXJ
$8.46B
$4K ﹤0.01%
97
– –
IGOV icon
988
iShares International Treasury Bond ETF
IGOV
$1.54B
$4K ﹤0.01%
94
+8
+9% +$400
IVZ icon
989
Invesco
IVZ
$13.9B
$4K ﹤0.01%
144
-2
-1% -$59
LBRDA icon
990
Liberty Broadband Class A
LBRDA
$5.16B
$4K ﹤0.01%
69
– –
MTB icon
991
M&T Bank
MTB
$36.2B
$4K ﹤0.01%
41
– –
IMDX
992
Insight Molecular Diagnostics
IMDX
$156M
$4K ﹤0.01%
43
– –
PINC
993
DELISTED
Premier
PINC
$4K ﹤0.01%
141
– –
PPL
994
PPL Corp
PPL
$26.7B
$4K ﹤0.01%
129
+29
+29% +$1.04K
PRO
995
DELISTED
PROS Holdings
PRO
$4K ﹤0.01%
210
– –
RWL icon
996
Invesco S&P 500 Revenue ETF
RWL
$9.86B
$4K ﹤0.01%
100
– –
SHM icon
997
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.47B
$4K ﹤0.01%
90
– –
SPXC icon
998
SPX Corp
SPXC
$10.8B
$4K ﹤0.01%
208
– –
TKC icon
999
Turkcell
TKC
$4.79B
$4K ﹤0.01%
578
– –
VCIT icon
1000
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.3B
$4K ﹤0.01%
47
– –
38 39
40
41 42

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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 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.