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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
+5.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$785M
AUM Growth
+$84M
Cap. Flow
+$49.3M
Cap. Flow %
6.28%
Top 10 Hldgs %
45.22%
Holding
1,307
New
75
Increased
250
Reduced
239
Closed
52

Top Buys

Rank Stock Value
1
ENB icon
Enbridge
ENB
+$5.57M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$5.52M
3
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$5.48M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.65M
5
AXP icon
American Express
AXP
+$3.41M

Top Sells

Rank Stock Value
1
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.59M
2
SE
Spectra Energy Corp Wi
SE
+$3.64M
3
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$1.34M
4
VIIX
VelocityShares VIX Short Term ETN
VIIX
+$779K
5
LOB icon
Live Oak Bancshares
LOB
+$752K

Sector Composition

Rank Sector Weight
1 Financials 9.12%
2 Technology 5.75%
3 Energy 4.37%
4 Healthcare 4.06%
5 Industrials 3.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LYV icon
1201
Live Nation Entertainment
LYV
$42.3B
$0 ﹤0.01%
16
– –
MT icon
1202
ArcelorMittal
MT
$55.2B
$0 ﹤0.01%
2
– –
MTG icon
1203
MGIC Investment
MTG
$6.21B
– –
-250
Closed -$2K
NRG icon
1204
NRG Energy
NRG
$25.1B
$0 ﹤0.01%
10
– –
NRT
1205
North European Oil Royalty Trust
NRT
$81.4M
$0 ﹤0.01%
65
– –
NWSA icon
1206
News Corp Class A
NWSA
$16.1B
$0 ﹤0.01%
41
– –
ODP
1207
DELISTED
ODP
ODP
– –
-60
Closed -$2K
OEF icon
1208
iShares S&P 100 ETF
OEF
$20.5B
– –
-28
Closed -$2K
OMC icon
1209
Omnicom Group
OMC
$22.6B
– –
-215
Closed -$18K
OZK icon
1210
Bank OZK
OZK
$5.63B
$0 ﹤0.01%
2
– –
PHK
1211
PIMCO High Income Fund
PHK
$878M
$0 ﹤0.01%
7
– –
PIM
1212
Franklin Master Intermediate Income Trust
PIM
$151M
$0 ﹤0.01%
60
– –
PIO icon
1213
Invesco Global Water ETF
PIO
$283M
– –
-58
Closed -$1K
PIPR icon
1214
Piper Sandler
PIPR
$5.02B
$0 ﹤0.01%
16
– –
PLUG icon
1215
Plug Power
PLUG
$2.89B
$0 ﹤0.01%
10
– –
PRTA icon
1216
Prothena Corp
PRTA
$449M
$0 ﹤0.01%
1
– –
REET icon
1217
iShares Global REIT ETF
REET
$5.08B
$0 ﹤0.01%
+1
New +$25
RGT
1218
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
SAN icon
1219
Banco Santander
SAN
$209B
– –
-1,437
Closed -$7K
SCHA icon
1220
Schwab U.S Small- Cap ETF
SCHA
$22.8B
$0 ﹤0.01%
28
– –
SCHC icon
1221
Schwab International Small-Cap Equity ETF
SCHC
$5.59B
$0 ﹤0.01%
12
– –
SCHE icon
1222
Schwab Emerging Markets Equity ETF
SCHE
$12.8B
$0 ﹤0.01%
18
– –
SCHF icon
1223
Schwab International Equity ETF
SCHF
$68B
$0 ﹤0.01%
38
– –
SCHH icon
1224
Schwab US REIT ETF
SCHH
$11.4B
$0 ﹤0.01%
16
– –
SCHX icon
1225
Schwab US Large- Cap ETF
SCHX
$73.9B
$0 ﹤0.01%
96
– –
47 48
49
50 51

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NFG
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6M
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RFA
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CCT
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CC
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RM
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Carroll Financial Associates's Q1 2017 Portfolio in Review

As of Q1 2017, Carroll Financial Associates held 1,307 positions worth $785M, up 12% from $701M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $49.3M of net new capital in Q1 2017, opening 75 new positions and adding to 250 existing holdings. Its largest new stake was Enbridge: 131,920 shares worth $5.52M.

By sector, the portfolio is most concentrated in Financials at 9.1% of assets, down from 9.5% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, an estimated $5.59M trimmed.

  • Carroll Financial Associates's largest Q1 2017 buy was Enbridge: 131,920 shares worth $5.52M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q1 2017, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q1 2017 reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, cutting an estimated $5.59M.
  • Carroll Financial Associates fully exited Spectra Energy Corp Wi in Q1 2017, selling an estimated $3.64M.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $785M portfolio in Q1 2017.
  • Carroll Financial Associates opened 75 new positions and closed 52 in Q1 2017.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $785M.

Based on Carroll Financial Associates's 13F filing for Q1 2017, filed 11 Apr 2017.