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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
OII icon
1126
Oceaneering
OII
$4.77B
– –
-34
Closed -$2K
OKE icon
1127
Oneok
OKE
$54.5B
– –
-124
Closed -$5K
OVV icon
1128
Ovintiv
OVV
$16.4B
– –
-127
Closed -$7K
OZK icon
1129
Bank OZK
OZK
$5.61B
$0 ﹤0.01%
+2
New +$87
PAG icon
1130
Penske Automotive Group
PAG
$14.2B
$0 ﹤0.01%
10
– –
PALL icon
1131
abrdn Physical Palladium Shares ETF
PALL
$681M
– –
-115
Closed -$1K
PBR icon
1132
Petrobras
PBR
$116B
– –
-32
Closed –
PHD
1133
DELISTED
Pioneer Floating Rate Fund
PHD
$0 ﹤0.01%
6
– –
PHK
1134
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PII icon
1135
Polaris
PII
$4.07B
– –
-23
Closed -$3K
PIPR icon
1136
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
– –
PLUG icon
1137
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
10
– –
PMF
1138
DELISTED
PIMCO Municipal Income Fund
PMF
– –
-4,000
Closed -$55K
PNR icon
1139
Pentair
PNR
$11B
$0 ﹤0.01%
21
-126
-86% -$4.95K
PPT
1140
Franklin Premier Income Trust
PPT
$328M
$0 ﹤0.01%
139
– –
PRTA icon
1141
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
QAI icon
1142
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.02B
$0 ﹤0.01%
25
– –
RDOG icon
1143
ALPS REIT Dividend Dogs ETF
RDOG
$11.3M
$0 ﹤0.01%
+22
New +$922
RGT
1144
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
RIG icon
1145
Transocean
RIG
$5.82B
$0 ﹤0.01%
13
– –
RSG icon
1146
Republic Services
RSG
$65.7B
– –
-500
Closed -$20K
RWX icon
1147
State Street SPDR Dow Jones International Real Estate ETF
RWX
$270M
$0 ﹤0.01%
19
– –
SCHA icon
1148
Schwab U.S Small- Cap ETF
SCHA
$23.1B
$0 ﹤0.01%
16
– –
SCHB icon
1149
Schwab US Broad Market ETF
SCHB
$44.9B
$0 ﹤0.01%
36
– –
SCHE icon
1150
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$0 ﹤0.01%
5
– –
44 45
46
47 48

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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 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.