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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
+5.33%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$480M
AUM Growth
+$29.3M
Cap. Flow
+$33.2M
Cap. Flow %
6.9%
Top 10 Hldgs %
43.82%
Holding
1,246
New
78
Increased
268
Reduced
227
Closed
63

Top Buys

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$13.4M
2
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$12.4M
3
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.78M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.38M
5
GPT
Gramercy Property Trust
GPT
+$3.09M

Top Sells

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$4.88M
2
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$3.95M
3
HTS
HATTERAS FINANCIAL CORP
HTS
+$2.22M
4
SE
Spectra Energy Corp Wi
SE
+$1.92M
5
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.58M

Sector Composition

Rank Sector Weight
1 Financials 11.29%
2 Technology 7.22%
3 Energy 5.11%
4 Consumer Staples 4.93%
5 Healthcare 4.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PWE
1201
DELISTED
Penn West Energy Petroleum Ltd
PWE
– –
-1,700
Closed -$1K
UTEK
1202
DELISTED
Ultratech Inc.
UTEK
$0 ﹤0.01%
13
– –
NRF
1203
DELISTED
NorthStar Realty Finance Corp.
NRF
$0 ﹤0.01%
54
– –
TLN
1204
DELISTED
Talen Energy Corporation
TLN
$0 ﹤0.01%
12
– –
COB
1205
DELISTED
CommunityOne Bancorp
COB
$0 ﹤0.01%
19
– –
WPG
1206
DELISTED
Washington Prime Group Inc.
WPG
$0 ﹤0.01%
6
– –
FMER
1207
DELISTED
FIRSTMERIT CORP
FMER
$0 ﹤0.01%
24
– –
TAL
1208
DELISTED
TAL INTERNATIONAL GROUP, INC.
TAL
– –
-122
Closed -$2K
RSE
1209
DELISTED
ROUSE PPTYS INC COM (DE)
RSE
$0 ﹤0.01%
19
– –
SSE
1210
DELISTED
SEVENTY SEVEN ENERGY INC COM
SSE
$0 ﹤0.01%
14
– –
BTU
1211
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$0 ﹤0.01%
20
+19
+1,900% +$274
HNT
1212
DELISTED
HEALTH NET INC
HNT
– –
-40
Closed -$2.56K
ACI
1213
DELISTED
ARCH COAL, INC.
ACI
$0 ﹤0.01%
+60
New +$114
SD
1214
DELISTED
SANDRIDGE ENERGY, INC.
SD
$0 ﹤0.01%
2,000
– –
BSJF
1215
DELISTED
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
– –
-575
Closed -$14.9K
CSG
1216
DELISTED
CHAMBERS STR PPTYS COM
CSG
– –
-220,644
Closed -$1.58M
PGN
1217
DELISTED
PARAGON OFFSHORE PLC (GBR)
PGN
$0 ﹤0.01%
83
-16
-16% -$4
CYT
1218
DELISTED
CYTEC INDS INC
CYT
– –
-24
Closed -$1K
SIAL
1219
DELISTED
SIGMA - ALDRICH CORP
SIAL
– –
-460
Closed -$64K
HCC
1220
DELISTED
HCC INSURANCES HOLDINGS INC
HCC
– –
-800
Closed -$62K
ADEP
1221
DELISTED
Adept Technology Inc
ADEP
– –
-1,300
Closed -$16K
GMK
1222
DELISTED
GRUMA SAB DE C V ADS(RP 4 B SHS
GMK
– –
-3,000
Closed -$185K
AFFY
1223
DELISTED
Affymax Inc
AFFY
$0 ﹤0.01%
3,000
– –
SCMR
1224
DELISTED
SYCAMORE NETWORKS INC NEW
SCMR
$0 ﹤0.01%
2
– –
CMCSK
1225
DELISTED
COMCAST CORP SPL A (NEW)
CMCSK
– –
-745
Closed -$45K
46 47 48
49
50

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RM
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Carroll Financial Associates's Q4 2015 Portfolio in Review

As of Q4 2015, Carroll Financial Associates held 1,246 positions worth $480M, up 6.5% from $451M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $33.2M of net new capital in Q4 2015, opening 78 new positions and adding to 268 existing holdings. Its largest new stake was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was JP Morgan Alerian MLP Index ETN 5/24/24, an estimated $4.88M trimmed.

  • Carroll Financial Associates's largest Q4 2015 buy was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q4 2015, an estimated $13.4M increase.
  • Carroll Financial Associates's biggest Q4 2015 reduction was JP Morgan Alerian MLP Index ETN 5/24/24, cutting an estimated $4.88M.
  • Carroll Financial Associates fully exited CHAMBERS STR PPTYS COM in Q4 2015, selling an estimated $1.58M.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $480M portfolio in Q4 2015.
  • Carroll Financial Associates opened 78 new positions and closed 63 in Q4 2015.
  • Carroll Financial Associates's portfolio value rose 6.5% quarter-over-quarter to $480M.

Based on Carroll Financial Associates's 13F filing for Q4 2015, filed 12 Jan 2016.