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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
EMIF icon
1151
iShares Emerging Markets Infrastructure ETF
EMIF
$13.1M
– –
-2,839
Closed -$87K
EOD
1152
Allspring Global Dividend Opportunity Fund
EOD
$286M
– –
-650
Closed -$3K
EOI
1153
Eaton Vance Enhanced Equity Income Fund
EOI
$826M
– –
-9
Closed –
ERIC icon
1154
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
60
+20
+50% +$110
ETJ
1155
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$575M
– –
-2,100
Closed -$19K
EUFN icon
1156
iShares MSCI Europe Financials ETF
EUFN
$4.29B
– –
-2,750
Closed -$47K
EWU icon
1157
iShares MSCI United Kingdom ETF
EWU
$4.16B
– –
-585
Closed -$18K
FANG icon
1158
Diamondback Energy
FANG
$52.7B
– –
-3
Closed –
FAZ
1159
Direxion Daily Financial Bear 3x ETF
FAZ
$86.7M
– –
0
– –
FCEL icon
1160
FuelCell Energy
FCEL
$1.63B
– –
0
– –
FDS icon
1161
Factset
FDS
$10.2B
– –
-11
Closed -$1K
FLS icon
1162
Flowserve
FLS
$10.2B
– –
-150
Closed -$7K
FNDA icon
1163
Schwab Fundamental US Small Company Index ETF
FNDA
$9.38B
$0 ﹤0.01%
46
– –
FNDC icon
1164
Schwab Fundamental International Small Company Index ETF
FNDC
$3.16B
$0 ﹤0.01%
18
– –
FNDE icon
1165
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$9.81B
$0 ﹤0.01%
29
– –
FNDF icon
1166
Schwab Fundamental International Large Company Index ETF
FNDF
$25.5B
$0 ﹤0.01%
29
– –
GAM
1167
General American Investors Company
GAM
$1.61B
– –
-657
Closed -$21K
GPN icon
1168
Global Payments
GPN
$22.8B
– –
-3
Closed –
GSG icon
1169
iShares S&P GSCI Commodity-Indexed Trust
GSG
$968M
– –
-1,517
Closed -$22K
HOFT icon
1170
Hooker Furnishings Corp
HOFT
$166M
$0 ﹤0.01%
4
– –
HRI icon
1171
Herc Holdings
HRI
$5.61B
$0 ﹤0.01%
13
– –
IAU icon
1172
iShares Gold Trust
IAU
$67.5B
$0 ﹤0.01%
26
– –
IEP icon
1173
Icahn Enterprises
IEP
$5.3B
$0 ﹤0.01%
8
– –
IMNN icon
1174
Imunon
IMNN
$6.77M
– –
0
– –
ISCV icon
1175
iShares Morningstar Small-Cap Value ETF
ISCV
$706M
$0 ﹤0.01%
+6
New +$271
45 46
47
48 49

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NFG
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6M
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RFA
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CCT
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RM
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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.