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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
+5.11%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$785M
AUM Growth
+$84M
Cap. Flow
+$49.7M
Cap. Flow %
6.33%
Top 10 Hldgs %
45.22%
Holding
1,307
New
75
Increased
251
Reduced
238
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
UN
101
DELISTED
Unilever NV New York Registry Shares
UN
$1.13M 0.14%
22,721
-995
-4% -$44.6K
SLYV icon
102
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$5.02B
$1.12M 0.14%
18,956
+7,644
+68% +$453K
RWO icon
103
State Street SPDR Dow Jones Global Real Estate ETF
RWO
$1.31B
$1.09M 0.14%
23,189
+10,788
+87% +$509K
IJK icon
104
iShares S&P Mid-Cap 400 Growth ETF
IJK
$11B
$1.06M 0.14%
22,220
+1,820
+9% +$85.8K
FVD icon
105
First Trust Value Line Dividend Fund
FVD
$8.37B
$1.02M 0.13%
35,061
-716
-2% -$20.5K
LNC icon
106
Lincoln National
LNC
$8.98B
$961K 0.12%
14,688
-1,096
-7% -$74.9K
BNCN
107
DELISTED
BNC Bancorp
BNCN
$956K 0.12%
27,277
+2,614
+11% +$90.7K
V icon
108
Visa
V
$688B
$945K 0.12%
10,635
+517
+5% +$44.5K
INTC icon
109
Intel
INTC
$510B
$911K 0.12%
25,261
+1,034
+4% +$37.4K
CATO icon
110
Cato Corp
CATO
$68.3M
$904K 0.12%
41,175
+40,400
+5,213% +$1.01M
PGX icon
111
Invesco Preferred ETF
PGX
$3.8B
$863K 0.11%
58,245
-6,152
-10% -$90.1K
HDEF icon
112
Xtrackers MSCI EAFE High Dividend Yield Equity ETF
HDEF
$2.33B
$859K 0.11%
34,940
-1,530
-4% -$36.6K
IWF icon
113
iShares Russell 1000 Growth ETF
IWF
$127B
$844K 0.11%
29,680
-104
-0.3% -$2.88K
BSJI
114
DELISTED
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
$832K 0.11%
32,875
-2,900
-8% -$73.3K
VTR icon
115
Ventas
VTR
$47.5B
$809K 0.1%
12,441
+971
+8% +$60.5K
EMR icon
116
Emerson Electric
EMR
$91B
$795K 0.1%
13,286
+367
+3% +$21.9K
HSIC icon
117
Henry Schein
HSIC
$10.2B
$795K 0.1%
11,942
– –
BDX icon
118
Becton Dickinson
BDX
$47B
$791K 0.1%
4,422
-205
-4% -$35.7K
ORCL icon
119
Oracle
ORCL
$416B
$770K 0.1%
17,268
+74
+0.4% +$3.08K
AMJ
120
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$769K 0.1%
23,836
-2,575
-10% -$84.1K
PFM icon
121
Invesco Dividend Achievers ETF
PFM
$805M
$761K 0.1%
32,033
-482
-1% -$11.3K
WMT icon
122
Walmart Inc
WMT
$894B
$736K 0.09%
30,639
+366
+1% +$8.42K
GOOGL icon
123
Alphabet (Google) Class A
GOOGL
$4.43T
$729K 0.09%
17,200
+2,340
+16% +$98.4K
GOOG icon
124
Alphabet (Google) Class C
GOOG
$4.4T
$723K 0.09%
17,440
+8,540
+96% +$350K
QCOM icon
125
Qualcomm
QCOM
$165B
$710K 0.09%
12,394
-3,452
-22% -$200K
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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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 $49.7M of net new capital in Q1 2017, opening 75 new positions and adding to 251 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.