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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
MLR icon
1126
Miller Industries
MLR
$619M
$0 ﹤0.01%
20
– –
MOS icon
1127
The Mosaic Company
MOS
$7.33B
$0 ﹤0.01%
6
– –
MT icon
1128
ArcelorMittal
MT
$55.3B
$0 ﹤0.01%
3
– –
MUR icon
1129
Murphy Oil
MUR
$4.78B
$0 ﹤0.01%
2
– –
NRG icon
1130
NRG Energy
NRG
$24.8B
$0 ﹤0.01%
10
– –
NRT
1131
North European Oil Royalty Trust
NRT
$81M
$0 ﹤0.01%
65
– –
NWSA icon
1132
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
41
– –
ORI icon
1133
Old Republic International
ORI
$10.4B
$0 ﹤0.01%
53
-37
-41% -$666
OZK icon
1134
Bank OZK
OZK
$5.61B
$0 ﹤0.01%
2
– –
PAG icon
1135
Penske Automotive Group
PAG
$14.2B
$0 ﹤0.01%
10
– –
PHD
1136
DELISTED
Pioneer Floating Rate Fund
PHD
$0 ﹤0.01%
6
– –
PHK
1137
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PIE icon
1138
Invesco Dorsey Wright Emerging Markets Momentum ETF
PIE
$244M
– –
-886
Closed -$13.9K
PIPR icon
1139
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
– –
PLUG icon
1140
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
10
– –
PPT
1141
Franklin Premier Income Trust
PPT
$328M
$0 ﹤0.01%
139
– –
PRGO icon
1142
Perrigo
PRGO
$1.78B
– –
-12
Closed -$1K
PRTA icon
1143
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
QAI icon
1144
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.02B
$0 ﹤0.01%
25
– –
RGT
1145
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
RIG icon
1146
Transocean
RIG
$5.82B
$0 ﹤0.01%
13
– –
RRC icon
1147
Range Resources
RRC
$8.95B
– –
-1,800
Closed -$59K
RWX icon
1148
State Street SPDR Dow Jones International Real Estate ETF
RWX
$270M
$0 ﹤0.01%
19
– –
SCHA icon
1149
Schwab U.S Small- Cap ETF
SCHA
$23.1B
– –
-16
Closed –
SCHB icon
1150
Schwab US Broad Market ETF
SCHB
$44.9B
– –
-36
Closed –
44 45
46
47 48

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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
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
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 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.