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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
+3.88%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$701M
AUM Growth
+$34.8M
Cap. Flow
+$12.6M
Cap. Flow %
1.79%
Top 10 Hldgs %
45.65%
Holding
1,296
New
50
Increased
228
Reduced
255
Closed
65

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$5.71M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.33M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$4M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$3.71M
5
IVV icon
iShares Core S&P 500 ETF
IVV
+$1.58M

Top Sells

Rank Stock Value
1
PSTB
Park Sterling Corp.
PSTB
+$2.87M
2
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.52M
3
PNY
PIEDMONT NATURAL GAS CO INC(NC
PNY
+$2.34M
4
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$1.12M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$842K

Sector Composition

Rank Sector Weight
1 Financials 9.48%
2 Technology 5.84%
3 Energy 4.14%
4 Healthcare 3.95%
5 Industrials 3.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STJ
1126
DELISTED
St Jude Medical
STJ
$1K ﹤0.01%
13
– –
VIA
1127
DELISTED
Viacom Inc. Class A
VIA
$1K ﹤0.01%
50
– –
CY
1128
DELISTED
Cypress Semiconductor
CY
$1K ﹤0.01%
125
– –
JMBA
1129
DELISTED
Jamba, Inc.
JMBA
$1K ﹤0.01%
100
– –
BCS.PRA.CL
1130
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$1K ﹤0.01%
50
– –
AA icon
1131
Alcoa
AA
$13.2B
– –
-863
Closed -$21K
AIRI icon
1132
Air Industries Group
AIRI
$12.8M
$0 ﹤0.01%
+1
New +$31
AMN icon
1133
AMN Healthcare
AMN
$1.4B
– –
-15
Closed –
AWI icon
1134
Armstrong World Industries
AWI
$7.84B
$0 ﹤0.01%
6
-27
-82% -$1.11K
BATRA icon
1135
Atlanta Braves Holdings Series A
BATRA
$3.43B
$0 ﹤0.01%
23
– –
BB icon
1136
BlackBerry
BB
$5.26B
$0 ﹤0.01%
15
– –
BBY icon
1137
Best Buy
BBY
$17.3B
– –
-43
Closed -$1K
BKD icon
1138
Brookdale Senior Living
BKD
$3.4B
$0 ﹤0.01%
17
– –
BKT icon
1139
BlackRock Income Trust
BKT
$341M
– –
-1,000
Closed -$19K
BLDP
1140
Ballard Power Systems
BLDP
$790M
$0 ﹤0.01%
600
– –
BOND icon
1141
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.47B
– –
-225
Closed -$24K
BSET icon
1142
Bassett Furniture
BSET
$176M
– –
-6
Closed –
CRNT icon
1143
Ceragon Networks
CRNT
$201M
$0 ﹤0.01%
37
– –
CWI icon
1144
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.85B
$0 ﹤0.01%
29
– –
CYH icon
1145
Community Health Systems
CYH
$423M
$0 ﹤0.01%
13
– –
DAN icon
1146
Dana Inc
DAN
$3.06B
$0 ﹤0.01%
38
– –
DGS icon
1147
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.77B
$0 ﹤0.01%
+16
New +$641
DPZ icon
1148
Domino's
DPZ
$11.6B
– –
-4
Closed –
E icon
1149
ENI
E
$77.5B
– –
-360
Closed -$10K
EIX icon
1150
Edison International
EIX
$26.4B
$0 ﹤0.01%
12
– –
44 45
46
47 48

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Carroll Financial Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Carroll Financial Associates held 1,296 positions worth $701M, up 5.2% from $666M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

Carroll Financial Associates's Q4 2016 filing shows 50 new, 228 increased, 255 reduced and 65 closed positions. Its largest new stake was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K. The largest sale was Park Sterling Corp., an estimated $2.87M.

By sector, the portfolio is most concentrated in Financials at 9.5% of assets, up from 8.9% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q4 2016 buy was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q4 2016, an estimated $5.71M increase.
  • Carroll Financial Associates's biggest Q4 2016 reduction was Park Sterling Corp., cutting an estimated $2.87M.
  • Carroll Financial Associates fully exited PIEDMONT NATURAL GAS CO INC(NC in Q4 2016, selling an estimated $2.34M.
  • Carroll Financial Associates's ten largest holdings make up 46% of its $701M portfolio in Q4 2016.
  • Carroll Financial Associates opened 50 new positions and closed 65 in Q4 2016.
  • Carroll Financial Associates's portfolio value rose 5.2% quarter-over-quarter to $701M.

Based on Carroll Financial Associates's 13F filing for Q4 2016, filed 11 Jan 2017.