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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
SCHF icon
1151
Schwab International Equity ETF
SCHF
$68.7B
$0 ﹤0.01%
10
– –
SCHH icon
1152
Schwab US REIT ETF
SCHH
$11.4B
$0 ﹤0.01%
8
– –
SHY icon
1153
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$0 ﹤0.01%
8
– –
SIGA icon
1154
SIGA Technologies
SIGA
$219M
$0 ﹤0.01%
500
– –
SMB icon
1155
VanEck Short Muni ETF
SMB
$314M
– –
-3,000
Closed -$52K
SMP icon
1156
Standard Motor Products
SMP
$911M
– –
-40
Closed -$1.4K
SONY icon
1157
Sony
SONY
$138B
– –
-1,710
Closed -$10K
SPR
1158
DELISTED
Spirit AeroSystems
SPR
– –
-150
Closed -$7.98K
SSD icon
1159
Simpson Manufacturing
SSD
$8.16B
$0 ﹤0.01%
10
– –
SSO icon
1160
ProShares Ultra S&P500
SSO
$8.41B
– –
-848
Closed -$7K
STRL icon
1161
Sterling Infrastructure
STRL
$16.7B
$0 ﹤0.01%
4
– –
SXC icon
1162
SunCoke Energy
SXC
$797M
$0 ﹤0.01%
147
– –
TKR icon
1163
Timken Company
TKR
$9.03B
– –
-123
Closed -$4K
TMF icon
1164
Direxion Daily 20+ Year Treasury Bull 3X ETF
TMF
$2.18B
– –
-22
Closed -$4K
TQQQ icon
1165
ProShares UltraPro QQQ
TQQQ
$37.4B
– –
-2,208
Closed -$5K
TVTX icon
1166
Travere Therapeutics
TVTX
$5.78B
– –
-1,000
Closed -$33K
USA icon
1167
Liberty All-Star Equity Fund
USA
$1.85B
$0 ﹤0.01%
92
+1
+1% +$5
VALE icon
1168
Vale
VALE
$62.6B
$0 ﹤0.01%
26
– –
VIAV icon
1169
Viavi Solutions
VIAV
$9.66B
$0 ﹤0.01%
12
+8
+200% +$47
VVX icon
1170
V2X
VVX
$2.65B
– –
-11
Closed –
VYX icon
1171
NCR Voyix
VYX
$1.14B
$0 ﹤0.01%
42
– –
WAB icon
1172
Wabtec
WAB
$49.3B
– –
-108
Closed -$10K
XLU icon
1173
State Street Utilities Select Sector SPDR ETF
XLU
$22.7B
– –
-230
Closed -$5K
XOP icon
1174
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.43B
– –
-28
Closed -$5K
XSLV icon
1175
Invesco S&P SmallCap Low Volatility ETF
XSLV
$249M
$0 ﹤0.01%
+15
New +$496
45 46
47
48 49

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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
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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 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.