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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
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$538M
AUM Growth
+$58M
Cap. Flow
+$46.6M
Cap. Flow %
8.66%
Top 10 Hldgs %
44.15%
Holding
1,319
New
136
Increased
373
Reduced
192
Closed
80

Top Buys

Rank Stock Value
1
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$11M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$8.68M
3
SCIU
Global X Scientific Beta US ETF
SCIU
+$7.1M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$6.75M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$2.99M

Top Sells

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$8.16M
2
SE
Spectra Energy Corp Wi
SE
+$3.04M
3
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$1.14M
4
PKW icon
Invesco BuyBack Achievers ETF
PKW
+$765K
5
GPT
Gramercy Property Trust
GPT
+$611K

Sector Composition

Rank Sector Weight
1 Financials 9.82%
2 Technology 6.79%
3 Energy 4.95%
4 Consumer Staples 4.87%
5 Industrials 4.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GXP
1101
DELISTED
Great Plains Energy Incorporated
GXP
$1K ﹤0.01%
34
– –
BWLD
1102
DELISTED
Buffalo Wild Wings, Inc.
BWLD
$1K ﹤0.01%
10
– –
BRCD
1103
DELISTED
Brocade Communications Systems, Inc. NEW
BRCD
$1K ﹤0.01%
125
– –
BEAV
1104
DELISTED
B/E Aerospace Inc
BEAV
$1K ﹤0.01%
26
– –
ENH
1105
DELISTED
Endurance Specialty Holdings Ltd
ENH
$1K ﹤0.01%
16
– –
STJ
1106
DELISTED
St Jude Medical
STJ
$1K ﹤0.01%
21
– –
NTI
1107
DELISTED
NORTHERN TIER ENERGY LP CLASS A
NTI
$1K ﹤0.01%
+75
New +$1.81K
ADT
1108
DELISTED
ADT Corp
ADT
$1K ﹤0.01%
29
-117
-80% -$4.11K
ALU
1109
DELISTED
Alcatel-Lucent
ALU
$1K ﹤0.01%
393
-888
-69% -$3.26K
CY
1110
DELISTED
Cypress Semiconductor
CY
$1K ﹤0.01%
125
– –
JMBA
1111
DELISTED
Jamba, Inc.
JMBA
$1K ﹤0.01%
100
– –
WWAV
1112
DELISTED
The WhiteWave Foods Company
WWAV
$1K ﹤0.01%
+44
New +$1.67K
BCS.PRA.CL
1113
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$1K ﹤0.01%
50
– –
AAXJ icon
1114
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.77B
– –
-135
Closed -$7K
ACLS icon
1115
Axcelis
ACLS
$4.33B
$0 ﹤0.01%
86
– –
ALLE icon
1116
Allegion
ALLE
$14.4B
$0 ﹤0.01%
7
– –
AMN icon
1117
AMN Healthcare
AMN
$1.4B
$0 ﹤0.01%
+15
New +$429
ARE icon
1118
Alexandria Real Estate Equities
ARE
$8.56B
$0 ﹤0.01%
5
– –
AVNW icon
1119
Aviat Networks
AVNW
$273M
$0 ﹤0.01%
3
– –
BB icon
1120
BlackBerry
BB
$5.26B
$0 ﹤0.01%
15
– –
BCE icon
1121
BCE
BCE
$21.2B
– –
-120
Closed -$4K
BCS icon
1122
Barclays
BCS
$94.1B
– –
-125
Closed -$1K
BF.B icon
1123
Brown-Forman Class B
BF.B
$13.1B
– –
-669
Closed -$20.7K
BLDP
1124
Ballard Power Systems
BLDP
$790M
$0 ﹤0.01%
600
– –
BLKB icon
1125
Blackbaud
BLKB
$2.08B
– –
-100
Closed -$6K
43 44
45
46 47

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NFG
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6M
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RFA
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CCT
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CC
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RM
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Carroll Financial Associates's Q1 2016 Portfolio in Review

As of Q1 2016, Carroll Financial Associates held 1,319 positions worth $538M, up 12% from $480M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $46.6M of net new capital in Q1 2016, opening 136 new positions and adding to 373 existing holdings. Its largest new stake was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.

By sector, the portfolio is most concentrated in Financials at 9.8% of assets, down from 11% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Invesco S&P 500 Downside Hedged ETF, an estimated $8.16M trimmed.

  • Carroll Financial Associates's largest Q1 2016 buy was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.
  • Carroll Financial Associates added most to Goldman Sachs ActiveBeta US Large Cap Equity ETF in Q1 2016, an estimated $11M increase.
  • Carroll Financial Associates's biggest Q1 2016 reduction was Invesco S&P 500 Downside Hedged ETF, cutting an estimated $8.16M.
  • Carroll Financial Associates fully exited UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN in Q1 2016, selling an estimated $541K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $538M portfolio in Q1 2016.
  • Carroll Financial Associates opened 136 new positions and closed 80 in Q1 2016.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $538M.

Based on Carroll Financial Associates's 13F filing for Q1 2016, filed 20 Apr 2016.