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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
+0.1%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$324M
AUM Growth
-$33.2M
Cap. Flow
-$39.8M
Cap. Flow %
-12.28%
Top 10 Hldgs %
40.98%
Holding
1,053
New
82
Increased
100
Reduced
249
Closed
124

Top Buys

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.19M
2
RCAP
RCS CAPITAL CORPORATION CLASS A COM
RCAP
+$1.32M
3
BBRC
Columbia Beyond BRICs ETF
BBRC
+$1.21M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$617K
5
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$474K

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.83M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.43M
3
IOO icon
iShares Global 100 ETF
IOO
+$3.86M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.88M
5
FEZ icon
State Street SPDR EURO STOXX 50 ETF
FEZ
+$2.34M

Sector Composition

Rank Sector Weight
1 Financials 12.76%
2 Technology 10.02%
3 Energy 8.24%
4 Healthcare 6.21%
5 Industrials 4.9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PGX icon
101
Invesco Preferred ETF
PGX
$3.79B
$426K 0.13%
29,035
-6,800
-19% -$98.7K
SDY icon
102
State Street SPDR S&P Dividend ETF
SDY
$23.8B
$426K 0.13%
5,344
-10
-0.2% -$759
GILD icon
103
Gilead Sciences
GILD
$164B
$414K 0.13%
3,834
+708
+23% +$69.3K
BNCN
104
DELISTED
BNC Bancorp
BNCN
$410K 0.13%
23,709
-525
-2% -$8.76K
RSP icon
105
Invesco S&P 500 Equal Weight ETF
RSP
$99.2B
$407K 0.13%
5,155
+55
+1% +$4.22K
INTC icon
106
Intel
INTC
$499B
$402K 0.12%
12,087
-3,020
-20% -$102K
XLK icon
107
State Street Technology Select Sector SPDR ETF
XLK
$123B
$398K 0.12%
19,456
-21,850
-53% -$433K
CLX icon
108
Clorox
CLX
$12.9B
$392K 0.12%
3,877
+351
+10% +$31.7K
MORL
109
DELISTED
ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN
MORL
$392K 0.12%
18,400
+500
+3% +$11K
BA icon
110
Boeing
BA
$184B
$391K 0.12%
3,121
-200
-6% -$25.2K
LUMN icon
111
Lumen
LUMN
$6.5B
$391K 0.12%
9,791
-650
-6% -$25.5K
ORCL icon
112
Oracle
ORCL
$413B
$389K 0.12%
9,633
-2,433
-20% -$98.5K
SUP
113
DELISTED
Superior Industries International
SUP
$382K 0.12%
21,000
-800
-4% -$15.6K
AMT icon
114
American Tower
AMT
$80.5B
$351K 0.11%
3,535
+300
+9% +$28.6K
CEFL
115
DELISTED
ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN
CEFL
$351K 0.11%
13,600
+12,800
+1,600% +$366K
NKE icon
116
Nike
NKE
$62.5B
$349K 0.11%
7,362
+112
+2% +$4.44K
STT icon
117
State Street
STT
$50.1B
$349K 0.11%
4,500
– –
VGT icon
118
Vanguard Information Technology ETF
VGT
$148B
$322K 0.1%
24,960
+17,192
+221% +$214K
EMR icon
119
Emerson Electric
EMR
$88.3B
$312K 0.1%
4,835
+438
+10% +$28.4K
PSX icon
120
Phillips 66
PSX
$80.6B
$305K 0.09%
4,149
-2,000
-33% -$166K
GOOG icon
121
Alphabet (Google) Class C
GOOG
$4.34T
$296K 0.09%
10,709
+321
+3% +$9.28K
PX
122
DELISTED
Praxair Inc
PX
$296K 0.09%
2,340
– –
IWF icon
123
iShares Russell 1000 Growth ETF
IWF
$127B
$291K 0.09%
12,300
-3,928
-24% -$90K
CVS icon
124
CVS Health
CVS
$123B
$290K 0.09%
3,231
-2,310
-42% -$182K
IBB icon
125
iShares Biotechnology ETF
IBB
$9.67B
$283K 0.09%
2,868
– –
3 4
5
6 7

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TU
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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 Q3 2014 Portfolio in Review

As of Q3 2014, Carroll Financial Associates held 1,053 positions worth $324M, down 9.3% from $357M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Carroll Financial Associates withdrew a net $39.8M in Q3 2014, closing 124 positions and reducing 249 holdings. Its most notable exit was Atlantic Union Bankshares, an estimated $872K position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 12% a quarter earlier, followed by Technology and Energy.

Against the trend, Carroll Financial Associates opened a new position in Invesco S&P 500 Downside Hedged ETF worth $7.45M.

  • Carroll Financial Associates's largest Q3 2014 buy was Invesco S&P 500 Downside Hedged ETF: 251,160 shares worth $7.45M.
  • Carroll Financial Associates added most to Columbia Beyond BRICs ETF in Q3 2014, an estimated $1.21M increase.
  • Carroll Financial Associates's biggest Q3 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.83M.
  • Carroll Financial Associates fully exited Atlantic Union Bankshares in Q3 2014, selling an estimated $872K.
  • Carroll Financial Associates's ten largest holdings make up 41% of its $324M portfolio in Q3 2014.
  • Carroll Financial Associates opened 82 new positions and closed 124 in Q3 2014.
  • Carroll Financial Associates's portfolio value fell 9.3% quarter-over-quarter to $324M.

Based on Carroll Financial Associates's 13F filing for Q3 2014, filed 13 Nov 2014.