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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
+3.57%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$878M
AUM Growth
+$50.8M
Cap. Flow
+$12.8M
Cap. Flow %
1.46%
Top 10 Hldgs %
47.08%
Holding
1,346
New
83
Increased
259
Reduced
310
Closed
70

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$13.1M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$11.3M
3
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$6.91M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.07M
5
RTX icon
RTX Corp
RTX
+$4.07M

Top Sells

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$14.9M
2
DD icon
DuPont de Nemours
DD
+$7.88M
3
XIVH
VelocityShares VIX Short Volatility Hedged ETN
XIVH
+$3.8M
4
DD
Du Pont De Nemours E I
DD
+$1.5M
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$1.33M

Sector Composition

Rank Sector Weight
1 Financials 8.75%
2 Technology 5.53%
3 Healthcare 3.99%
4 Energy 3.84%
5 Industrials 3.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MMT
1151
Aberdeen Multi-Market Income Fund
MMT
$241M
$1K ﹤0.01%
195
-2,055
-91% -$12.8K
MSCI icon
1152
MSCI
MSCI
$41.3B
$1K ﹤0.01%
14
– –
NMFC icon
1153
New Mountain Finance
NMFC
$728M
$1K ﹤0.01%
100
– –
NSA
1154
DELISTED
National Storage Affiliates Trust
NSA
$1K ﹤0.01%
75
– –
NTGR icon
1155
NETGEAR
NTGR
$616M
$1K ﹤0.01%
25
– –
NUSC icon
1156
Nuveen ESG Small-Cap ETF
NUSC
$1.33B
$1K ﹤0.01%
38
– –
NXRT
1157
NexPoint Residential Trust
NXRT
$656M
$1K ﹤0.01%
+46
New +$1.11K
PARAA
1158
DELISTED
Paramount Global Class A
PARAA
$1K ﹤0.01%
25
-25
-50% -$1.59K
PBF icon
1159
PBF Energy
PBF
$7.13B
$1K ﹤0.01%
51
-7
-12% -$162
PFN
1160
PIMCO Income Strategy Fund II
PFN
$703M
$1K ﹤0.01%
118
– –
PWV icon
1161
Invesco Large Cap Value ETF
PWV
$1.71B
$1K ﹤0.01%
46
– –
RL icon
1162
Ralph Lauren
RL
$23.2B
$1K ﹤0.01%
18
– –
RPM icon
1163
RPM International
RPM
$15B
$1K ﹤0.01%
27
– –
RRC icon
1164
Range Resources
RRC
$9B
$1K ﹤0.01%
50
-270
-84% -$5.22K
ECHO
1165
EchoStar
ECHO
$26.1B
$1K ﹤0.01%
22
– –
SBRA icon
1166
Sabra Healthcare REIT
SBRA
$5.34B
$1K ﹤0.01%
+62
New +$1.4K
SIRI icon
1167
SiriusXM
SIRI
$10B
$1K ﹤0.01%
24
– –
SLV icon
1168
iShares Silver Trust
SLV
$30.8B
$1K ﹤0.01%
100
-1,095
-92% -$17.4K
SXC icon
1169
SunCoke Energy
SXC
$810M
$1K ﹤0.01%
141
-6
-4% -$56
THC icon
1170
Tenet Healthcare
THC
$21B
$1K ﹤0.01%
101
– –
VNQI icon
1171
Vanguard Global ex-US Real Estate ETF
VNQI
$3.53B
$1K ﹤0.01%
28
+24
+600% +$1.4K
XLG icon
1172
Invesco S&P 500 Top 50 ETF
XLG
$11B
$1K ﹤0.01%
110
– –
RCM
1173
DELISTED
R1 RCM Inc. Common Stock
RCM
$1K ﹤0.01%
+450
New +$1.52K
IMGN
1174
DELISTED
Immunogen Inc
IMGN
$1K ﹤0.01%
209
– –
RPT
1175
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
$1K ﹤0.01%
88
– –
45 46
47
48 49

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Carroll Financial Associates's Q3 2017 Portfolio in Review

As of Q3 2017, Carroll Financial Associates held 1,346 positions worth $878M, up 6.1% from $827M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q3 2017 filing shows 83 new, 259 increased, 310 reduced and 70 closed positions. Its largest new stake was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M. The largest sale was iShares MSCI USA Momentum Factor ETF, an estimated $14.9M.

By sector, the portfolio is most concentrated in Financials at 8.7% of assets, down from 8.9% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2017 buy was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q3 2017, an estimated $13.1M increase.
  • Carroll Financial Associates's biggest Q3 2017 reduction was iShares MSCI USA Momentum Factor ETF, cutting an estimated $14.9M.
  • Carroll Financial Associates fully exited DuPont de Nemours in Q3 2017, selling an estimated $7.88M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $878M portfolio in Q3 2017.
  • Carroll Financial Associates opened 83 new positions and closed 70 in Q3 2017.
  • Carroll Financial Associates's portfolio value rose 6.1% quarter-over-quarter to $878M.

Based on Carroll Financial Associates's 13F filing for Q3 2017, filed 25 Oct 2017.