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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
VRTX icon
1001
Vertex Pharmaceuticals
VRTX
$126B
$4K ﹤0.01%
46
– –
WTM icon
1002
White Mountains Insurance
WTM
$5.13B
$4K ﹤0.01%
5
– –
TTM
1003
DELISTED
Tata Motors Limited
TTM
$4K ﹤0.01%
+115
New +$4.46K
DISCK
1004
DELISTED
Discovery, Inc. Series C Common Stock
DISCK
$4K ﹤0.01%
177
– –
INOV
1005
DELISTED
Inovalon Holdings, Inc. Class A Common Stock
INOV
$4K ﹤0.01%
315
– –
VTA
1006
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$4K ﹤0.01%
410
– –
LPT
1007
DELISTED
Liberty Property Trust
LPT
$4K ﹤0.01%
100
– –
TRK
1008
DELISTED
Speedway Motorsports, Inc.
TRK
$4K ﹤0.01%
265
– –
FCE.A
1009
DELISTED
Forest City Realty Trust, Inc.
FCE.A
$4K ﹤0.01%
215
– –
FNGN
1010
DELISTED
Financial Engines, Inc.
FNGN
$4K ﹤0.01%
155
– –
TVIA
1011
DELISTED
TerraVia Holdings, Inc. Common Stock
TVIA
$4K ﹤0.01%
1,750
– –
NLSN
1012
DELISTED
Nielsen Holdings plc
NLSN
$4K ﹤0.01%
+90
New +$4.79K
STRZA
1013
DELISTED
Starz - Series A
STRZA
$4K ﹤0.01%
139
– –
GG
1014
DELISTED
Goldcorp Inc
GG
$4K ﹤0.01%
300
– –
AMCX icon
1015
AMC Global Media
AMCX
$489M
$3K ﹤0.01%
58
– –
AOM icon
1016
iShares Core Moderate Allocation ETF
AOM
$1.78B
$3K ﹤0.01%
96
– –
APA icon
1017
APA Corp
APA
$13.2B
$3K ﹤0.01%
53
-2
-4% -$109
BRO icon
1018
Brown & Brown
BRO
$23.9B
$3K ﹤0.01%
202
-92
-31% -$1.7K
CMG icon
1019
Chipotle Mexican Grill
CMG
$41.5B
$3K ﹤0.01%
400
– –
CNQ icon
1020
Canadian Natural Resources
CNQ
$93.8B
$3K ﹤0.01%
208
– –
DBC icon
1021
Invesco DB Commodity Index Tracking Fund
DBC
$1.66B
$3K ﹤0.01%
213
– –
DBRG icon
1022
DigitalBridge
DBRG
$2.95B
$3K ﹤0.01%
68
– –
DIA icon
1023
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46.5B
$3K ﹤0.01%
20
– –
DNOW icon
1024
DNOW Inc
DNOW
$2.99B
$3K ﹤0.01%
161
– –
EOD
1025
Allspring Global Dividend Opportunity Fund
EOD
$286M
$3K ﹤0.01%
650
– –
39 40
41
42 43

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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 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.