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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
+2.92%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$666M
AUM Growth
+$68.1M
Cap. Flow
+$54.1M
Cap. Flow %
8.12%
Top 10 Hldgs %
45.11%
Holding
1,312
New
70
Increased
326
Reduced
189
Closed
67

Top Buys

Rank Stock Value
1
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$16.4M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.6M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$3.36M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$2.45M
5
XOM icon
ExxonMobil
XOM
+$2.01M

Top Sells

Rank Stock Value
1
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.12M
2
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$945K
3
WT icon
WisdomTree
WT
+$765K
4
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$535K
5
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$516K

Sector Composition

Rank Sector Weight
1 Financials 8.9%
2 Technology 6.08%
3 Energy 4.49%
4 Healthcare 4.43%
5 Consumer Staples 4.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VAR
1126
DELISTED
Varian Medical Systems, Inc.
VAR
$1K ﹤0.01%
14
-216
-94% -$17.6K
HTZ
1127
DELISTED
Hertz Global Holdings, Inc.
HTZ
$1K ﹤0.01%
46
-184
-80% -$7.7K
NE
1128
DELISTED
Noble Corporation
NE
$1K ﹤0.01%
250
– –
CHK
1129
DELISTED
Chesapeake Energy Corporation
CHK
$1K ﹤0.01%
1
– –
CHUBK
1130
DELISTED
CommerceHub, Inc. Series C Common Stock
CHUBK
$1K ﹤0.01%
+74
New +$1.05K
BWLD
1131
DELISTED
Buffalo Wild Wings, Inc.
BWLD
$1K ﹤0.01%
10
– –
ENH
1132
DELISTED
Endurance Specialty Holdings Ltd
ENH
$1K ﹤0.01%
16
– –
NRF
1133
DELISTED
NorthStar Realty Finance Corp.
NRF
$1K ﹤0.01%
135
– –
STJ
1134
DELISTED
St Jude Medical
STJ
$1K ﹤0.01%
13
– –
CY
1135
DELISTED
Cypress Semiconductor
CY
$1K ﹤0.01%
125
– –
JMBA
1136
DELISTED
Jamba, Inc.
JMBA
$1K ﹤0.01%
100
– –
BCS.PRA.CL
1137
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$1K ﹤0.01%
50
– –
AMN icon
1138
AMN Healthcare
AMN
$1.4B
$0 ﹤0.01%
15
– –
ARE icon
1139
Alexandria Real Estate Equities
ARE
$8.56B
– –
-5
Closed –
BATRA icon
1140
Atlanta Braves Holdings Series A
BATRA
$3.43B
$0 ﹤0.01%
+23
New +$382
BATRK icon
1141
Atlanta Braves Holdings Series B
BATRK
$3.21B
$0 ﹤0.01%
+52
New +$845
BB icon
1142
BlackBerry
BB
$5.26B
$0 ﹤0.01%
15
– –
BKD icon
1143
Brookdale Senior Living
BKD
$3.4B
$0 ﹤0.01%
17
-567
-97% -$9.78K
BLE
1144
DELISTED
BlackRock Municipal Income Trust II
BLE
– –
-1,816
Closed -$30K
BPT
1145
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
– –
-533
Closed -$9K
BSET icon
1146
Bassett Furniture
BSET
$176M
$0 ﹤0.01%
6
– –
CI icon
1147
Cigna
CI
$74.6B
– –
-130
Closed -$16K
CLAR icon
1148
Clarus
CLAR
$143M
– –
-25
Closed –
CRNT icon
1149
Ceragon Networks
CRNT
$201M
$0 ﹤0.01%
37
– –
CWI icon
1150
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.85B
$0 ﹤0.01%
29
– –
44 45
46
47 48

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TU
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NFG
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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 2016 Portfolio in Review

As of Q3 2016, Carroll Financial Associates held 1,312 positions worth $666M, up 11% from $598M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $54.1M of net new capital in Q3 2016, opening 70 new positions and adding to 326 existing holdings. Its largest new stake was iShares Russell 1000 ETF: 1,252 shares worth $150K.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, down from 9.3% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Xtrackers MSCI Europe Hedged Equity ETF, an estimated $2.12M trimmed.

  • Carroll Financial Associates's largest Q3 2016 buy was iShares Russell 1000 ETF: 1,252 shares worth $150K.
  • Carroll Financial Associates added most to Knowledge Leaders Developed World ETF in Q3 2016, an estimated $16.4M increase.
  • Carroll Financial Associates's biggest Q3 2016 reduction was Xtrackers MSCI Europe Hedged Equity ETF, cutting an estimated $2.12M.
  • Carroll Financial Associates fully exited UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN in Q3 2016, selling an estimated $945K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $666M portfolio in Q3 2016.
  • Carroll Financial Associates opened 70 new positions and closed 67 in Q3 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $666M.

Based on Carroll Financial Associates's 13F filing for Q3 2016, filed 11 Oct 2016.