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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
-7.01%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$451M
AUM Growth
+$4.05M
Cap. Flow
+$19M
Cap. Flow %
4.21%
Top 10 Hldgs %
41.98%
Holding
1,252
New
121
Increased
384
Reduced
193
Closed
84

Top Buys

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.52M
2
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$2.56M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.18M
4
TREE icon
LendingTree
TREE
+$1.57M
5
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$1.53M

Top Sells

Rank Stock Value
1
BBRC
Columbia Beyond BRICs ETF
BBRC
+$5.39M
2
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$4.09M
3
OCSL icon
Oaktree Specialty Lending
OCSL
+$1.36M
4
DGRE icon
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
+$861K
5
BAX icon
Baxter International
BAX
+$815K

Sector Composition

Rank Sector Weight
1 Financials 11.5%
2 Technology 7.62%
3 Energy 5.42%
4 Healthcare 5.01%
5 Consumer Staples 4.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LMLP
101
DELISTED
ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN
LMLP
$658K 0.15%
41,400
+1,450
+4% +$29.2K
DBJP icon
102
Xtrackers MSCI Japan Hedged Equity ETF
DBJP
$705M
$655K 0.15%
16,820
+3,000
+22% +$120K
EFA icon
103
iShares MSCI EAFE ETF
EFA
$80.2B
$625K 0.14%
10,294
+1,324
+15% +$81.7K
BDCL
104
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$619K 0.14%
38,400
+3,950
+11% +$72.2K
BDX icon
105
Becton Dickinson
BDX
$48.2B
$615K 0.14%
4,511
+120
+3% +$16.8K
MRK icon
106
Merck
MRK
$318B
$571K 0.13%
11,838
+42
+0.4% +$2.23K
EMR icon
107
Emerson Electric
EMR
$88.3B
$569K 0.13%
12,310
+1,892
+18% +$93K
NKE icon
108
Nike
NKE
$61.9B
$561K 0.12%
8,476
-72
-0.8% -$4.07K
VXF icon
109
Vanguard Extended Market ETF
VXF
$31.7B
$558K 0.12%
6,595
-36
-0.5% -$3.19K
SLB icon
110
SLB Ltd
SLB
$75B
$557K 0.12%
7,369
+267
+4% +$21.1K
PSX icon
111
Phillips 66
PSX
$81.4B
$547K 0.12%
6,805
+355
+6% +$28.2K
INTC icon
112
Intel
INTC
$513B
$543K 0.12%
16,273
+1,227
+8% +$35.5K
MDLZ icon
113
Mondelez International
MDLZ
$79.9B
$532K 0.12%
11,718
+109
+0.9% +$4.7K
BNCN
114
DELISTED
BNC Bancorp
BNCN
$532K 0.12%
24,363
– –
MLPL
115
DELISTED
UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN
MLPL
$531K 0.12%
19,200
+3,850
+25% +$135K
EPD icon
116
Enterprise Products Partners
EPD
$81.7B
$519K 0.12%
19,152
-600
-3% -$16.6K
GWW icon
117
W.W. Grainger
GWW
$60.2B
$500K 0.11%
2,480
+2,456
+10,233% +$552K
CMP icon
118
Compass Minerals
CMP
$1.15B
$491K 0.11%
+5,922
New +$486K
WT icon
119
WisdomTree
WT
$3.22B
$482K 0.11%
29,450
-3,900
-12% -$82.1K
GILD icon
120
Gilead Sciences
GILD
$165B
$474K 0.11%
4,663
+329
+8% +$36.5K
VV icon
121
Vanguard Morningstar Large-Cap ETF
VV
$54.3B
$461K 0.1%
4,979
– –
TPR icon
122
Tapestry
TPR
$32.8B
$446K 0.1%
14,837
+2,140
+17% +$66.1K
AFL icon
123
Aflac
AFL
$62.6B
$444K 0.1%
14,490
+448
+3% +$13.6K
BA icon
124
Boeing
BA
$185B
$442K 0.1%
3,137
+102
+3% +$14.1K
CVS icon
125
CVS Health
CVS
$122B
$442K 0.1%
4,281
+37
+0.9% +$3.89K
3 4
5
6 7

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NFG
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6M
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RFA
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CCT
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RM
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Carroll Financial Associates's Q3 2015 Portfolio in Review

As of Q3 2015, Carroll Financial Associates held 1,252 positions worth $451M, up 0.91% from $447M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Carroll Financial Associates deployed $19M of net new capital in Q3 2015, opening 121 new positions and adding to 384 existing holdings. Its largest new stake was PacWest Bancorp: 21,542 shares worth $926K.

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

On the sell side, the largest reduction was Columbia Beyond BRICs ETF, an estimated $5.39M trimmed.

  • Carroll Financial Associates's largest Q3 2015 buy was PacWest Bancorp: 21,542 shares worth $926K.
  • Carroll Financial Associates added most to iShares MSCI USA Min Vol Factor ETF in Q3 2015, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q3 2015 reduction was Columbia Beyond BRICs ETF, cutting an estimated $5.39M.
  • Carroll Financial Associates fully exited KRAFT FOODS GROUP INC COM STK (VA) in Q3 2015, selling an estimated $475K.
  • Carroll Financial Associates's ten largest holdings make up 42% of its $451M portfolio in Q3 2015.
  • Carroll Financial Associates opened 121 new positions and closed 84 in Q3 2015.
  • Carroll Financial Associates's portfolio value rose 0.91% quarter-over-quarter to $451M.

Based on Carroll Financial Associates's 13F filing for Q3 2015, filed 28 Oct 2015.