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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
CYH icon
1151
Community Health Systems
CYH
$423M
$0 ﹤0.01%
13
– –
DAN icon
1152
Dana Inc
DAN
$3.06B
$0 ﹤0.01%
38
– –
DPZ icon
1153
Domino's
DPZ
$11.6B
$0 ﹤0.01%
4
– –
EIX icon
1154
Edison International
EIX
$26.4B
$0 ﹤0.01%
12
– –
EOI
1155
Eaton Vance Enhanced Equity Income Fund
EOI
$826M
$0 ﹤0.01%
9
– –
ERIC icon
1156
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
40
– –
FANG icon
1157
Diamondback Energy
FANG
$52.7B
$0 ﹤0.01%
3
– –
FCEL icon
1158
FuelCell Energy
FCEL
$1.63B
– –
0
– –
FNDA icon
1159
Schwab Fundamental US Small Company Index ETF
FNDA
$9.38B
$0 ﹤0.01%
46
– –
FNDC icon
1160
Schwab Fundamental International Small Company Index ETF
FNDC
$3.16B
$0 ﹤0.01%
18
– –
FNDE icon
1161
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$9.81B
$0 ﹤0.01%
29
– –
FNDF icon
1162
Schwab Fundamental International Large Company Index ETF
FNDF
$25.5B
$0 ﹤0.01%
29
– –
G icon
1163
Genpact
G
$5.76B
– –
-18
Closed –
GPN icon
1164
Global Payments
GPN
$22.8B
$0 ﹤0.01%
3
– –
HOFT icon
1165
Hooker Furnishings Corp
HOFT
$166M
$0 ﹤0.01%
4
– –
HRI icon
1166
Herc Holdings
HRI
$5.61B
$0 ﹤0.01%
+13
New +$436
PPLI
1167
People Inc
PPLI
$3.1B
– –
-716
Closed -$7K
IAU icon
1168
iShares Gold Trust
IAU
$67.5B
$0 ﹤0.01%
26
– –
IEP icon
1169
Icahn Enterprises
IEP
$5.3B
$0 ﹤0.01%
8
– –
IIIN icon
1170
Insteel Industries
IIIN
$625M
– –
-14
Closed –
IMNN icon
1171
Imunon
IMNN
$6.77M
– –
0
– –
KBWB icon
1172
Invesco KBW Bank ETF
KBWB
$6.87B
– –
-2,250
Closed -$75K
KIM icon
1173
Kimco Realty
KIM
$16.4B
$0 ﹤0.01%
24
– –
LILA icon
1174
Liberty Latin America Class A
LILA
$1.67B
$0 ﹤0.01%
52
+40
+333% +$789
LITE icon
1175
Lumentum
LITE
$69.3B
$0 ﹤0.01%
2
– –
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
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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
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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.