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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
RSPH icon
1001
Invesco S&P 500 Equal Weight Health Care ETF
RSPH
$784M
$2K ﹤0.01%
180
– –
SIRI icon
1002
SiriusXM
SIRI
$10.1B
$2K ﹤0.01%
55
– –
SITC icon
1003
SITE Centers
SITC
$165M
$2K ﹤0.01%
106
– –
SPXC icon
1004
SPX Corp
SPXC
$10.8B
$2K ﹤0.01%
237
+37
+19% +$402
SRLN icon
1005
State Street Blackstone Senior Loan ETF
SRLN
$5.36B
$2K ﹤0.01%
45
-126
-74% -$5.93K
TRMB icon
1006
Trimble
TRMB
$13.9B
$2K ﹤0.01%
103
– –
TROW icon
1007
T. Rowe Price
TROW
$24.3B
$2K ﹤0.01%
28
-34
-55% -$2.5K
UWM icon
1008
ProShares Ultra Russell2000
UWM
$245M
$2K ﹤0.01%
112
– –
WDAY icon
1009
Workday
WDAY
$44.4B
$2K ﹤0.01%
33
– –
XRX icon
1010
Xerox
XRX
$425M
$2K ﹤0.01%
76
– –
ERF
1011
DELISTED
Enerplus Corporation
ERF
$2K ﹤0.01%
800
– –
SPLK
1012
DELISTED
Splunk Inc
SPLK
$2K ﹤0.01%
45
– –
IMGN
1013
DELISTED
Immunogen Inc
IMGN
$2K ﹤0.01%
+209
New +$2.57K
NUAN
1014
DELISTED
Nuance Communications, Inc.
NUAN
$2K ﹤0.01%
155
– –
NE
1015
DELISTED
Noble Corporation
NE
$2K ﹤0.01%
250
-50
-17% -$629
LTS
1016
DELISTED
Ladenburg Thalmann Financial Services Inc
LTS
$2K ﹤0.01%
1,000
– –
USG
1017
DELISTED
Usg
USG
$2K ﹤0.01%
112
– –
WIN
1018
DELISTED
Windstream Holdings Inc
WIN
$2K ﹤0.01%
70
-4
-5% -$128
GM.WS.A
1019
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
$2K ﹤0.01%
109
-1
-0.9% -$25
UTIW
1020
DELISTED
UTI WORLDWIDE INC
UTIW
$2K ﹤0.01%
300
– –
PAGG
1021
DELISTED
Invesco Global Agriculture ETF
PAGG
$2K ﹤0.01%
100
– –
MOCO
1022
DELISTED
Mocon Inc
MOCO
$2K ﹤0.01%
150
– –
MEMP
1023
DELISTED
Memorial Production Partners LP Common Units
MEMP
$2K ﹤0.01%
1,095
– –
LNKD
1024
DELISTED
LinkedIn Corporation
LNKD
$2K ﹤0.01%
10
-7
-41% -$1.59K
CIT
1025
DELISTED
CIT Group Inc.
CIT
$2K ﹤0.01%
61
-93
-60% -$3.9K
39 40
41
42 43

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NFG
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6M
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RFA
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CCT
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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.