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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
STJ
1076
DELISTED
St Jude Medical
STJ
$1K ﹤0.01%
21
– –
LINE
1077
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$1K ﹤0.01%
1,044
– –
CEO
1078
DELISTED
CNOOC Limited
CEO
$1K ﹤0.01%
10
-45
-82% -$4.97K
CY
1079
DELISTED
Cypress Semiconductor
CY
$1K ﹤0.01%
+125
New +$1.24K
JMBA
1080
DELISTED
Jamba, Inc.
JMBA
$1K ﹤0.01%
+100
New +$1.37K
BCS.PRA.CL
1081
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$1K ﹤0.01%
50
– –
HAWK
1082
DELISTED
Blackhawk Network Holdings, Inc. Common Stock
HAWK
$1K ﹤0.01%
24
– –
ACCO icon
1083
Acco Brands
ACCO
$407M
– –
-16
Closed -$124
ACLS icon
1084
Axcelis
ACLS
$4.33B
$0 ﹤0.01%
86
– –
AIZ icon
1085
Assurant
AIZ
$14.3B
– –
-22
Closed -$1.81K
ALLE icon
1086
Allegion
ALLE
$14.4B
$0 ﹤0.01%
7
– –
AME icon
1087
Ametek
AME
$58.2B
– –
-65
Closed -$3K
AOM icon
1088
iShares Core Moderate Allocation ETF
AOM
$1.78B
– –
-150
Closed -$5K
ARE icon
1089
Alexandria Real Estate Equities
ARE
$8.56B
$0 ﹤0.01%
5
– –
AVNW icon
1090
Aviat Networks
AVNW
$273M
$0 ﹤0.01%
3
-1
-25% -$6
BB icon
1091
BlackBerry
BB
$5.26B
$0 ﹤0.01%
15
– –
BBWI icon
1092
Bath & Body Works
BBWI
$4.1B
– –
-247
Closed -$19K
BHC icon
1093
Bausch Health
BHC
$2.34B
– –
-33
Closed -$3K
BHK icon
1094
BlackRock Core Bond Trust
BHK
$667M
– –
-12
Closed –
BIP icon
1095
Brookfield Infrastructure Partners
BIP
$18B
– –
-2,079
Closed -$33K
BLDP
1096
Ballard Power Systems
BLDP
$790M
$0 ﹤0.01%
600
– –
CACI icon
1097
CACI
CACI
$14.2B
– –
-4
Closed –
CIG icon
1098
CEMIG Preferred Shares
CIG
$6.01B
$0 ﹤0.01%
685
-1,722
-72% -$1.59K
CLAR icon
1099
Clarus
CLAR
$143M
$0 ﹤0.01%
25
– –
CRNT icon
1100
Ceragon Networks
CRNT
$201M
$0 ﹤0.01%
25
– –
42 43
44
45 46

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TU
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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
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
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.