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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
VTV icon
101
Vanguard Morningstar Value ETF
VTV
$191B
$887K 0.13%
10,202
+935
+10% +$81.5K
HDEF icon
102
Xtrackers MSCI EAFE High Dividend Yield Equity ETF
HDEF
$2.36B
$860K 0.13%
36,470
-4,430
-11% -$103K
V icon
103
Visa
V
$684B
$843K 0.13%
10,204
+160
+2% +$12.8K
PFM icon
104
Invesco Dividend Achievers ETF
PFM
$806M
$831K 0.12%
36,714
-1,558
-4% -$35.6K
BDX icon
105
Becton Dickinson
BDX
$48.6B
$823K 0.12%
4,693
+195
+4% +$33.3K
IJK icon
106
iShares S&P Mid-Cap 400 Growth ETF
IJK
$11.2B
$816K 0.12%
18,692
+2,720
+17% +$119K
PGHY icon
107
Invesco Global ex-US High Yield Corporate Bond ETF
PGHY
$227M
$816K 0.12%
33,548
+4,258
+15% +$103K
WMT icon
108
Walmart Inc
WMT
$890B
$811K 0.12%
33,750
+948
+3% +$23K
LNC icon
109
Lincoln National
LNC
$8.88B
$795K 0.12%
16,929
+905
+6% +$40.5K
HSIC icon
110
Henry Schein
HSIC
$9.87B
$763K 0.11%
11,942
– –
FVD icon
111
First Trust Value Line Dividend Fund
FVD
$8.41B
$759K 0.11%
28,126
+22,289
+382% +$607K
IBB icon
112
iShares Biotechnology ETF
IBB
$9.67B
$753K 0.11%
7,812
+462
+6% +$44K
OXY icon
113
Occidental Petroleum
OXY
$56B
$752K 0.11%
10,325
+154
+2% +$11.5K
SLB icon
114
SLB Ltd
SLB
$76.1B
$730K 0.11%
9,292
+362
+4% +$28.7K
VTR icon
115
Ventas
VTR
$47.8B
$730K 0.11%
10,340
+63
+0.6% +$4.57K
WELL icon
116
Welltower
WELL
$171B
$725K 0.11%
9,699
+949
+11% +$72.7K
GPC icon
117
Genuine Parts
GPC
$18.5B
$704K 0.11%
7,013
+88
+1% +$8.93K
EMR icon
118
Emerson Electric
EMR
$88.5B
$695K 0.1%
12,752
+638
+5% +$34.2K
MDLZ icon
119
Mondelez International
MDLZ
$80B
$680K 0.1%
15,501
+167
+1% +$7.33K
ORCL icon
120
Oracle
ORCL
$417B
$676K 0.1%
17,217
+380
+2% +$15.5K
ENFR icon
121
Alerian Energy Infrastructure ETF
ENFR
$510M
$659K 0.1%
28,426
+9,519
+50% +$211K
LMLP
122
DELISTED
ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN
LMLP
$649K 0.1%
58,800
+2,200
+4% +$24.8K
WT icon
123
WisdomTree
WT
$3.27B
$624K 0.09%
60,692
-73,377
-55% -$765K
CMP icon
124
Compass Minerals
CMP
$1.14B
$613K 0.09%
8,325
+90
+1% +$6.52K
BNCN
125
DELISTED
BNC Bancorp
BNCN
$592K 0.09%
24,370
– –
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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CC
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RM
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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.