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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
+2.92%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$666M
AUM Growth
+$68.1M
Cap. Flow
+$54.1M
Cap. Flow %
8.12%
Top 10 Hldgs %
45.11%
Holding
1,312
New
70
Increased
326
Reduced
189
Closed
67

Top Buys

Rank Stock Value
1
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$16.4M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.6M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$3.36M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$2.45M
5
XOM icon
ExxonMobil
XOM
+$2.01M

Top Sells

Rank Stock Value
1
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.12M
2
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$945K
3
WT icon
WisdomTree
WT
+$765K
4
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$535K
5
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$516K

Sector Composition

Rank Sector Weight
1 Financials 8.9%
2 Technology 6.08%
3 Energy 4.49%
4 Healthcare 4.43%
5 Consumer Staples 4.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SCHA icon
1201
Schwab U.S Small- Cap ETF
SCHA
$23.1B
$0 ﹤0.01%
28
– –
SCHC icon
1202
Schwab International Small-Cap Equity ETF
SCHC
$5.66B
$0 ﹤0.01%
12
– –
SCHE icon
1203
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$0 ﹤0.01%
18
-119
-87% -$2.69K
SCHF icon
1204
Schwab International Equity ETF
SCHF
$68.7B
$0 ﹤0.01%
38
-728
-95% -$10.3K
SCHH icon
1205
Schwab US REIT ETF
SCHH
$11.4B
$0 ﹤0.01%
16
– –
SCHM icon
1206
Schwab US Mid-Cap ETF
SCHM
$15.1B
– –
-258
Closed -$3K
SCHV
1207
Schwab US Large-Cap Value ETF
SCHV
$16.1B
– –
-795
Closed -$11K
SCHX icon
1208
Schwab US Large- Cap ETF
SCHX
$74.5B
$0 ﹤0.01%
96
-906
-90% -$7.77K
SFM icon
1209
Sprouts Farmers Market
SFM
$8.01B
$0 ﹤0.01%
46
– –
SHY icon
1210
iShares 1-3 Year Treasury Bond ETF
SHY
$25.1B
$0 ﹤0.01%
8
– –
SHYG icon
1211
iShares 0-5 Year High Yield Corporate Bond ETF
SHYG
$7.62B
$0 ﹤0.01%
16
– –
SIMO icon
1212
Silicon Motion
SIMO
$8.68B
– –
-14
Closed –
SIVR icon
1213
abrdn Physical Silver Shares ETF
SIVR
$4.42B
– –
-12,000
Closed -$220K
SLYG icon
1214
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
$5.2B
– –
-108
Closed -$4K
SNV
1215
DELISTED
Synovus
SNV
$0 ﹤0.01%
17
-142
-89% -$4.46K
STRL icon
1216
Sterling Infrastructure
STRL
$16.7B
$0 ﹤0.01%
4
– –
SYF icon
1217
Synchrony
SYF
$25.6B
$0 ﹤0.01%
31
– –
TFX icon
1218
Teleflex
TFX
$5.98B
$0 ﹤0.01%
3
– –
THQ
1219
abrdn Healthcare Opportunities Fund
THQ
$796M
– –
-250
Closed -$4K
TXRH icon
1220
Texas Roadhouse
TXRH
$13.7B
$0 ﹤0.01%
11
– –
URE icon
1221
ProShares Ultra Real Estate
URE
$59.7M
– –
-230
Closed -$14K
USA icon
1222
Liberty All-Star Equity Fund
USA
$1.85B
$0 ﹤0.01%
96
+1
+1% +$5
VALE icon
1223
Vale
VALE
$62.6B
$0 ﹤0.01%
26
– –
VC icon
1224
Visteon
VC
$2.78B
$0 ﹤0.01%
7
– –
VIAV icon
1225
Viavi Solutions
VIAV
$9.66B
$0 ﹤0.01%
12
– –
47 48
49
50 51

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CCT
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Carroll Financial Associates's Q3 2016 Portfolio in Review

As of Q3 2016, Carroll Financial Associates held 1,312 positions worth $666M, up 11% from $598M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $54.1M of net new capital in Q3 2016, opening 70 new positions and adding to 326 existing holdings. Its largest new stake was iShares Russell 1000 ETF: 1,252 shares worth $150K.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, down from 9.3% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Xtrackers MSCI Europe Hedged Equity ETF, an estimated $2.12M trimmed.

  • Carroll Financial Associates's largest Q3 2016 buy was iShares Russell 1000 ETF: 1,252 shares worth $150K.
  • Carroll Financial Associates added most to Knowledge Leaders Developed World ETF in Q3 2016, an estimated $16.4M increase.
  • Carroll Financial Associates's biggest Q3 2016 reduction was Xtrackers MSCI Europe Hedged Equity ETF, cutting an estimated $2.12M.
  • Carroll Financial Associates fully exited UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN in Q3 2016, selling an estimated $945K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $666M portfolio in Q3 2016.
  • Carroll Financial Associates opened 70 new positions and closed 67 in Q3 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $666M.

Based on Carroll Financial Associates's 13F filing for Q3 2016, filed 11 Oct 2016.