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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
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$538M
AUM Growth
+$58M
Cap. Flow
+$46.6M
Cap. Flow %
8.66%
Top 10 Hldgs %
44.15%
Holding
1,319
New
136
Increased
373
Reduced
192
Closed
80

Top Buys

Rank Stock Value
1
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$11M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$8.68M
3
SCIU
Global X Scientific Beta US ETF
SCIU
+$7.1M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$6.75M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$2.99M

Top Sells

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$8.16M
2
SE
Spectra Energy Corp Wi
SE
+$3.04M
3
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$1.14M
4
PKW icon
Invesco BuyBack Achievers ETF
PKW
+$765K
5
GPT
Gramercy Property Trust
GPT
+$611K

Sector Composition

Rank Sector Weight
1 Financials 9.82%
2 Technology 6.79%
3 Energy 4.95%
4 Consumer Staples 4.87%
5 Industrials 4.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MPWR icon
1176
Monolithic Power Systems
MPWR
$68.9B
$0 ﹤0.01%
+8
New +$477
MT icon
1177
ArcelorMittal
MT
$55.3B
$0 ﹤0.01%
2
-1
-33% -$10
MTSI icon
1178
MACOM Technology Solutions
MTSI
$23.7B
$0 ﹤0.01%
+6
New +$235
MUR icon
1179
Murphy Oil
MUR
$4.78B
$0 ﹤0.01%
2
– –
NCLH icon
1180
Norwegian Cruise Line
NCLH
$8.84B
$0 ﹤0.01%
+9
New +$433
NFJ
1181
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.43B
– –
-2,068
Closed -$25K
NHS
1182
Neuberger High Yield Strategies Fund Inc
NHS
$255M
– –
-100
Closed -$995
NRG icon
1183
NRG Energy
NRG
$24.8B
$0 ﹤0.01%
10
– –
NRT
1184
North European Oil Royalty Trust
NRT
$81M
$0 ﹤0.01%
65
– –
NWSA icon
1185
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
41
– –
ORI icon
1186
Old Republic International
ORI
$10.4B
– –
-53
Closed –
OVV icon
1187
Ovintiv
OVV
$16.4B
– –
-146
Closed -$3K
OZK icon
1188
Bank OZK
OZK
$5.61B
$0 ﹤0.01%
2
– –
PAG icon
1189
Penske Automotive Group
PAG
$14.2B
$0 ﹤0.01%
10
– –
PHD
1190
DELISTED
Pioneer Floating Rate Fund
PHD
$0 ﹤0.01%
6
– –
PHK
1191
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PIM
1192
Franklin Master Intermediate Income Trust
PIM
$151M
$0 ﹤0.01%
+60
New +$257
PIPR icon
1193
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
– –
PLUG icon
1194
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
10
– –
PPBI
1195
DELISTED
Pacific Premier Bancorp
PPBI
$0 ﹤0.01%
+8
New +$163
PPT
1196
Franklin Premier Income Trust
PPT
$328M
– –
-139
Closed –
PRTA icon
1197
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
PSO icon
1198
Pearson
PSO
$9.9B
– –
-95
Closed -$1K
QAI icon
1199
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.02B
$0 ﹤0.01%
25
– –
RGT
1200
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
46 47
48
49 50

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NFG
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6M
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RFA
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CCT
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C
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CC
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RM
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Carroll Financial Associates's Q1 2016 Portfolio in Review

As of Q1 2016, Carroll Financial Associates held 1,319 positions worth $538M, up 12% from $480M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $46.6M of net new capital in Q1 2016, opening 136 new positions and adding to 373 existing holdings. Its largest new stake was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.

By sector, the portfolio is most concentrated in Financials at 9.8% of assets, down from 11% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Invesco S&P 500 Downside Hedged ETF, an estimated $8.16M trimmed.

  • Carroll Financial Associates's largest Q1 2016 buy was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.
  • Carroll Financial Associates added most to Goldman Sachs ActiveBeta US Large Cap Equity ETF in Q1 2016, an estimated $11M increase.
  • Carroll Financial Associates's biggest Q1 2016 reduction was Invesco S&P 500 Downside Hedged ETF, cutting an estimated $8.16M.
  • Carroll Financial Associates fully exited UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN in Q1 2016, selling an estimated $541K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $538M portfolio in Q1 2016.
  • Carroll Financial Associates opened 136 new positions and closed 80 in Q1 2016.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $538M.

Based on Carroll Financial Associates's 13F filing for Q1 2016, filed 20 Apr 2016.