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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
JBHT icon
1176
JB Hunt Transport Services
JBHT
$25.2B
– –
-215
Closed -$17K
KBE icon
1177
State Street SPDR S&P Bank ETF
KBE
$1.66B
– –
-450
Closed -$15K
KEYS icon
1178
Keysight
KEYS
$58.3B
– –
-76
Closed -$2K
KIM icon
1179
Kimco Realty
KIM
$16.4B
$0 ﹤0.01%
24
– –
KXI icon
1180
iShares Global Consumer Staples ETF
KXI
$1.07B
– –
-440
Closed -$20.6K
LILA icon
1181
Liberty Latin America Class A
LILA
$1.67B
$0 ﹤0.01%
25
-27
-52% -$411
LITE icon
1182
Lumentum
LITE
$69.3B
– –
-2
Closed –
LNG icon
1183
Cheniere Energy
LNG
$52.9B
– –
-50
Closed -$2K
LVS icon
1184
Las Vegas Sands
LVS
$29.6B
$0 ﹤0.01%
11
– –
LYV icon
1185
Live Nation Entertainment
LYV
$42.1B
$0 ﹤0.01%
16
– –
M icon
1186
Macy's
M
$6.68B
$0 ﹤0.01%
13
– –
MSD
1187
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
– –
-2,000
Closed -$19K
MT icon
1188
ArcelorMittal
MT
$55.3B
$0 ﹤0.01%
2
– –
NGVT icon
1189
Ingevity
NGVT
$2.68B
– –
-3
Closed –
NRG icon
1190
NRG Energy
NRG
$24.8B
$0 ﹤0.01%
10
– –
NRT
1191
North European Oil Royalty Trust
NRT
$81M
$0 ﹤0.01%
65
– –
NWSA icon
1192
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
41
– –
OZK icon
1193
Bank OZK
OZK
$5.61B
$0 ﹤0.01%
2
– –
PBR.A icon
1194
Petrobras Class A
PBR.A
$103B
– –
-330
Closed -$2K
PEO
1195
Adams Natural Resources Fund
PEO
$725M
– –
-875
Closed -$16K
PHD
1196
DELISTED
Pioneer Floating Rate Fund
PHD
– –
-6
Closed –
PHK
1197
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PIM
1198
Franklin Master Intermediate Income Trust
PIM
$151M
$0 ﹤0.01%
60
– –
PIPR icon
1199
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
– –
PLUG icon
1200
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
10
– –
46 47
48
49 50

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TU
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NFG
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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
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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.