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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
ERH
1026
Allspring Utilities & High Income Fund
ERH
$103M
$3K ﹤0.01%
300
– –
FCPT icon
1027
Four Corners Property Trust
FCPT
$2.75B
$3K ﹤0.01%
+181
New +$3.81K
IONS icon
1028
Ionis Pharmaceuticals
IONS
$9.4B
$3K ﹤0.01%
98
– –
IOR
1029
Income Opportunity Realty Investors
IOR
$3K ﹤0.01%
456
– –
JEF icon
1030
Jefferies Financial Group
JEF
$13.1B
$3K ﹤0.01%
191
-36
-16% -$596
LYG icon
1031
Lloyds Banking Group
LYG
$91.3B
$3K ﹤0.01%
1,067
-3,314
-76% -$9.85K
MAN icon
1032
ManpowerGroup
MAN
$2.63B
$3K ﹤0.01%
50
– –
ODP
1033
DELISTED
ODP
ODP
$3K ﹤0.01%
94
– –
PEG icon
1034
Public Service Enterprise Group
PEG
$37.7B
$3K ﹤0.01%
94
-2
-2% -$88
PLD icon
1035
Prologis
PLD
$133B
$3K ﹤0.01%
67
– –
PSP icon
1036
Invesco Global Listed Private Equity ETF
PSP
$246M
$3K ﹤0.01%
70
+1
+1% +$53
ST icon
1037
Sensata Technologies
ST
$6.79B
$3K ﹤0.01%
85
– –
SSYS icon
1038
Stratasys
SSYS
$774M
$3K ﹤0.01%
130
– –
UPBD icon
1039
Upbound Group
UPBD
$1.16B
$3K ﹤0.01%
300
– –
VAC icon
1040
Marriott Vacations Worldwide
VAC
$4.25B
$3K ﹤0.01%
45
+3
+7% +$223
GAP
1041
The Gap Inc
GAP
$7.37B
$3K ﹤0.01%
157
-60
-28% -$1.45K
VIVS
1042
VivoSim Labs
VIVS
$1.64M
$3K ﹤0.01%
+4
New +$3.92K
CEM
1043
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$3K ﹤0.01%
37
– –
BKCC
1044
DELISTED
BlackRock Capital Investment Corporation
BKCC
$3K ﹤0.01%
400
– –
ECOM
1045
DELISTED
CHANNELADVISOR CORPORATION
ECOM
$3K ﹤0.01%
234
– –
MNDT
1046
DELISTED
Mandiant, Inc. Common Stock
MNDT
$3K ﹤0.01%
236
– –
AIG.WS
1047
DELISTED
American International Group, Inc.
AIG.WS
$3K ﹤0.01%
180
– –
TIF
1048
DELISTED
Tiffany & Co.
TIF
$3K ﹤0.01%
47
– –
NBL
1049
DELISTED
Noble Energy, Inc.
NBL
$3K ﹤0.01%
90
– –
BGG
1050
DELISTED
Briggs & Stratton Corp.
BGG
$3K ﹤0.01%
181
– –
40 41
42
43 44

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NFG
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6M
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RFA
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CCT
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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.