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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
VNQI icon
1226
Vanguard Global ex-US Real Estate ETF
VNQI
$3.53B
$0 ﹤0.01%
4
– –
VPL icon
1227
Vanguard FTSE Pacific ETF
VPL
$8.43B
– –
-193
Closed -$10K
VTOL icon
1228
Bristow Group
VTOL
$1.36B
– –
-253
Closed -$4K
VYX icon
1229
NCR Voyix
VYX
$1.14B
$0 ﹤0.01%
42
– –
X
1230
DELISTED
US Steel
X
$0 ﹤0.01%
34
– –
XSLV icon
1231
Invesco S&P SmallCap Low Volatility ETF
XSLV
$247M
$0 ﹤0.01%
15
– –
TPC
1232
Tutor Perini Cor
TPC
$5.21B
$0 ﹤0.01%
5
– –
CNSL
1233
DELISTED
Consolidated Communications Holdings, Inc.
CNSL
– –
-75
Closed -$2K
SPWR
1234
DELISTED
SunPower Corporation Common Stock
SPWR
$0 ﹤0.01%
52
– –
FSD
1235
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
– –
-1,100
Closed -$16K
ERF
1236
DELISTED
Enerplus Corporation
ERF
– –
-800
Closed -$5K
MTBL
1237
DELISTED
Moatable, Inc. American Depositary Share (each representing forty-five (45) Class A Ordinary Shares)
MTBL
$0 ﹤0.01%
+133
New +$362
IMGN
1238
DELISTED
Immunogen Inc
IMGN
$0 ﹤0.01%
209
– –
HEP
1239
DELISTED
Holly Energy Partners, L.P.
HEP
– –
-1,000
Closed -$34K
VRTV
1240
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
5
– –
PACW
1241
DELISTED
PacWest Bancorp
PACW
– –
-3,648
Closed -$145K
SPNE
1242
DELISTED
SeaSpine Holdings Corporation Common Stock
SPNE
$0 ﹤0.01%
4
– –
VWTR
1243
DELISTED
Vidler Water Resouces, Inc. Common Stock
VWTR
– –
-875
Closed -$8K
PBCT
1244
DELISTED
People's United Financial Inc
PBCT
– –
-14
Closed –
SQBG
1245
DELISTED
Sequential Brands Group, Inc.
SQBG
– –
0
– –
ALSK
1246
DELISTED
Alaska Communications Systems
ALSK
– –
-3,413
Closed -$5K
PE
1247
DELISTED
PARSLEY ENERGY INC
PE
$0 ﹤0.01%
24
– –
EUMV
1248
DELISTED
iShares Edge MSCI Min Vol Europe ETF
EUMV
– –
-420
Closed -$9K
JCP
1249
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
25
– –
MLNX
1250
DELISTED
Mellanox Technologies, Ltd.
MLNX
– –
-9
Closed –
48 49
50
51 52

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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.