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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
IART icon
1101
Integra LifeSciences
IART
$1.34B
$0 ﹤0.01%
28
-6
-18% -$188
IAU icon
1102
iShares Gold Trust
IAU
$64.4B
– –
-175
Closed -$4K
IEP icon
1103
Icahn Enterprises
IEP
$5.3B
$0 ﹤0.01%
8
– –
IGOV icon
1104
iShares International Treasury Bond ETF
IGOV
$1.54B
$0 ﹤0.01%
+16
New +$723
KIM icon
1105
Kimco Realty
KIM
$16.4B
$0 ﹤0.01%
24
– –
KN icon
1106
Knowles
KN
$3.34B
$0 ﹤0.01%
21
– –
KSS icon
1107
Kohl's
KSS
$2.19B
$0 ﹤0.01%
+20
New +$1.13K
LILA icon
1108
Liberty Latin America Class A
LILA
$1.67B
$0 ﹤0.01%
+20
New +$509
LILAK icon
1109
Liberty Latin America Class C
LILAK
$1.64B
$0 ﹤0.01%
+27
New +$915
MAN icon
1110
ManpowerGroup
MAN
$2.63B
– –
-50
Closed -$4.45K
MAT icon
1111
Mattel
MAT
$4.23B
– –
-126
Closed -$3K
MIDU icon
1112
Direxion Daily Mid Cap Bull 3X ETF
MIDU
$79.4M
– –
-108
Closed -$3K
MLR icon
1113
Miller Industries
MLR
$619M
$0 ﹤0.01%
20
– –
MNST icon
1114
Monster Beverage
MNST
$88.5B
– –
-360
Closed -$8.44K
MOS icon
1115
The Mosaic Company
MOS
$7.33B
$0 ﹤0.01%
6
– –
MT icon
1116
ArcelorMittal
MT
$55.3B
$0 ﹤0.01%
3
– –
MUR icon
1117
Murphy Oil
MUR
$4.78B
$0 ﹤0.01%
2
– –
NAT icon
1118
Nordic American Tanker
NAT
$1.37B
– –
-2,037
Closed -$29K
NRG icon
1119
NRG Energy
NRG
$24.8B
$0 ﹤0.01%
10
– –
NRT
1120
North European Oil Royalty Trust
NRT
$81M
$0 ﹤0.01%
+65
New +$659
NTGR icon
1121
NETGEAR
NTGR
$635M
$0 ﹤0.01%
25
– –
NVAX icon
1122
Novavax
NVAX
$1.31B
– –
-100
Closed -$22K
NWSA icon
1123
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
41
– –
NXPI icon
1124
NXP Semiconductors
NXPI
$60.4B
– –
-62
Closed -$6K
ODFL icon
1125
Old Dominion Freight Line
ODFL
$44.9B
– –
-66
Closed -$1.5K
43 44
45
46 47

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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
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 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.