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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
+3.28%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$598M
AUM Growth
+$59.6M
Cap. Flow
+$43.1M
Cap. Flow %
7.2%
Top 10 Hldgs %
43.55%
Holding
1,314
New
74
Increased
273
Reduced
187
Closed
72

Top Buys

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$11.8M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.4M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.35M
4
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$5M
5
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$2.91M

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.79M
2
GE icon
GE Aerospace
GE
+$1.61M
3
KMI icon
Kinder Morgan
KMI
+$1.27M
4
PACW
PacWest Bancorp
PACW
+$702K
5
BDCS
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
+$633K

Sector Composition

Rank Sector Weight
1 Financials 9.27%
2 Technology 5.91%
3 Energy 5.03%
4 Healthcare 4.76%
5 Consumer Staples 4.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MLR icon
1176
Miller Industries
MLR
$607M
– –
-20
Closed –
MPWR icon
1177
Monolithic Power Systems
MPWR
$68.6B
$0 ﹤0.01%
8
– –
MT icon
1178
ArcelorMittal
MT
$54.9B
$0 ﹤0.01%
2
– –
MTSI icon
1179
MACOM Technology Solutions
MTSI
$23.8B
$0 ﹤0.01%
6
– –
MUR icon
1180
Murphy Oil
MUR
$4.9B
– –
-2
Closed –
NCLH icon
1181
Norwegian Cruise Line
NCLH
$8.84B
$0 ﹤0.01%
9
– –
NOW icon
1182
ServiceNow
NOW
$129B
– –
-300
Closed -$3K
NRG icon
1183
NRG Energy
NRG
$25.7B
$0 ﹤0.01%
10
– –
NRT
1184
North European Oil Royalty Trust
NRT
$81.5M
$0 ﹤0.01%
65
– –
NWSA icon
1185
News Corp Class A
NWSA
$15.5B
$0 ﹤0.01%
41
– –
OZK icon
1186
Bank OZK
OZK
$5.64B
$0 ﹤0.01%
2
– –
PAG icon
1187
Penske Automotive Group
PAG
$14.2B
– –
-10
Closed –
PANW icon
1188
Palo Alto Networks
PANW
$297B
– –
-198
Closed -$5K
PBP icon
1189
Invesco S&P 500 BuyWrite ETF
PBP
$362M
– –
-4,000
Closed -$81K
PHD
1190
DELISTED
Pioneer Floating Rate Fund
PHD
$0 ﹤0.01%
6
– –
PHK
1191
PIMCO High Income Fund
PHK
$878M
$0 ﹤0.01%
7
– –
PIM
1192
Franklin Master Intermediate Income Trust
PIM
$151M
$0 ﹤0.01%
60
– –
PIPR icon
1193
Piper Sandler
PIPR
$5.28B
$0 ﹤0.01%
16
– –
PJT icon
1194
PJT Partners
PJT
$4.39B
$0 ﹤0.01%
31
-100
-76% -$2.41K
PLUG icon
1195
Plug Power
PLUG
$3B
$0 ﹤0.01%
10
– –
PPBI
1196
DELISTED
Pacific Premier Bancorp
PPBI
$0 ﹤0.01%
8
– –
PRTA icon
1197
Prothena Corp
PRTA
$456M
$0 ﹤0.01%
1
– –
QAI icon
1198
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.02B
$0 ﹤0.01%
25
– –
RCI icon
1199
Rogers Communications
RCI
$18.7B
– –
-640
Closed -$25K
RGT
1200
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
46 47
48
49 50

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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
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
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
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Carroll Financial Associates's Q2 2016 Portfolio in Review

As of Q2 2016, Carroll Financial Associates held 1,314 positions worth $598M, up 11% from $538M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $43.1M of net new capital in Q2 2016, opening 74 new positions and adding to 273 existing holdings. Its largest new stake was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.

By sector, the portfolio is most concentrated in Financials at 9.3% of assets, down from 9.8% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares MSCI USA Min Vol Factor ETF, an estimated $5.79M trimmed.

  • Carroll Financial Associates's largest Q2 2016 buy was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.
  • Carroll Financial Associates added most to iShares MSCI USA Momentum Factor ETF in Q2 2016, an estimated $11.8M increase.
  • Carroll Financial Associates's biggest Q2 2016 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $5.79M.
  • Carroll Financial Associates fully exited UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com in Q2 2016, selling an estimated $633K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $598M portfolio in Q2 2016.
  • Carroll Financial Associates opened 74 new positions and closed 72 in Q2 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $598M.

Based on Carroll Financial Associates's 13F filing for Q2 2016, filed 18 Jul 2016.