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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
-7.01%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$451M
AUM Growth
+$4.05M
Cap. Flow
+$19M
Cap. Flow %
4.21%
Top 10 Hldgs %
41.98%
Holding
1,252
New
121
Increased
384
Reduced
193
Closed
84

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.52M
2
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$2.56M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.18M
4
TREE icon
LendingTree
TREE
+$1.57M
5
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$1.53M

Top Sells

Rank Stock Value
1
BBRC
Columbia Beyond BRICs ETF
BBRC
+$5.39M
2
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$4.09M
3
OCSL icon
Oaktree Specialty Lending
OCSL
+$1.36M
4
DGRE icon
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
+$861K
5
BAX icon
Baxter International
BAX
+$815K

Sector Composition

Rank Sector Weight
1 Financials 11.5%
2 Technology 7.62%
3 Energy 5.42%
4 Healthcare 5.01%
5 Consumer Staples 4.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BEAV
1051
DELISTED
B/E Aerospace Inc
BEAV
$1K ﹤0.01%
26
– –
ENH
1052
DELISTED
Endurance Specialty Holdings Ltd
ENH
$1K ﹤0.01%
+16
New +$1.04K
NRF
1053
DELISTED
NorthStar Realty Finance Corp.
NRF
$1K ﹤0.01%
54
– –
STJ
1054
DELISTED
St Jude Medical
STJ
$1K ﹤0.01%
+21
New +$1.5K
CYT
1055
DELISTED
CYTEC INDS INC
CYT
$1K ﹤0.01%
24
– –
AMU
1056
DELISTED
ETRACS Alerian MLP Index ETN
AMU
$1K ﹤0.01%
+48
New +$1.09K
BCS.PRA.CL
1057
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$1K ﹤0.01%
50
– –
ACCO icon
1058
Acco Brands
ACCO
$407M
$0 ﹤0.01%
16
– –
ACLS icon
1059
Axcelis
ACLS
$4.33B
$0 ﹤0.01%
86
– –
AIVI icon
1060
WisdomTree International AI Enhanced Value Fund
AIVI
$63.9M
– –
-1,220
Closed -$52K
ALLE icon
1061
Allegion
ALLE
$14.4B
$0 ﹤0.01%
7
– –
AOD
1062
abrdn Total Dynamic Dividend Fund
AOD
$1.12B
– –
-250
Closed -$2K
AOS icon
1063
A.O. Smith
AOS
$8.7B
– –
-48
Closed -$1.64K
ARE icon
1064
Alexandria Real Estate Equities
ARE
$8.56B
$0 ﹤0.01%
5
– –
AVNW icon
1065
Aviat Networks
AVNW
$273M
$0 ﹤0.01%
4
– –
BB icon
1066
BlackBerry
BB
$5.26B
$0 ﹤0.01%
15
– –
BCE icon
1067
BCE
BCE
$21.2B
– –
-92
Closed -$3.78K
BDC icon
1068
Belden
BDC
$5.19B
– –
-14
Closed -$825
BGT icon
1069
BlackRock Floating Rate Income Trust
BGT
$325M
– –
-13
Closed –
BHK icon
1070
BlackRock Core Bond Trust
BHK
$667M
$0 ﹤0.01%
12
– –
BLDP
1071
Ballard Power Systems
BLDP
$790M
$0 ﹤0.01%
600
– –
BWXT icon
1072
BWX Technologies
BWXT
$15.6B
$0 ﹤0.01%
+32
New +$817
CACI icon
1073
CACI
CACI
$14.2B
$0 ﹤0.01%
4
– –
CASI
1074
DELISTED
CASI Pharmaceuticals
CASI
– –
-1
Closed -$14
CLAR icon
1075
Clarus
CLAR
$143M
$0 ﹤0.01%
25
– –
41 42
43
44 45

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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 2015 Portfolio in Review

As of Q3 2015, Carroll Financial Associates held 1,252 positions worth $451M, up 0.91% from $447M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Carroll Financial Associates deployed $19M of net new capital in Q3 2015, opening 121 new positions and adding to 384 existing holdings. Its largest new stake was PacWest Bancorp: 21,542 shares worth $926K.

By sector, the portfolio is most concentrated in Financials at 12% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Columbia Beyond BRICs ETF, an estimated $5.39M trimmed.

  • Carroll Financial Associates's largest Q3 2015 buy was PacWest Bancorp: 21,542 shares worth $926K.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q3 2015, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q3 2015 reduction was Columbia Beyond BRICs ETF, cutting an estimated $5.39M.
  • Carroll Financial Associates fully exited KRAFT FOODS GROUP INC COM STK (VA) in Q3 2015, selling an estimated $475K.
  • Carroll Financial Associates's ten largest holdings make up 42% of its $451M portfolio in Q3 2015.
  • Carroll Financial Associates opened 121 new positions and closed 84 in Q3 2015.
  • Carroll Financial Associates's portfolio value rose 0.91% quarter-over-quarter to $451M.

Based on Carroll Financial Associates's 13F filing for Q3 2015, filed 28 Oct 2015.