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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
+3.88%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$701M
AUM Growth
+$34.8M
Cap. Flow
+$12.6M
Cap. Flow %
1.79%
Top 10 Hldgs %
45.65%
Holding
1,296
New
50
Increased
228
Reduced
255
Closed
65

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$5.71M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.33M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$4M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$3.71M
5
IVV icon
iShares Core S&P 500 ETF
IVV
+$1.58M

Top Sells

Rank Stock Value
1
PSTB
Park Sterling Corp.
PSTB
+$2.87M
2
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.52M
3
PNY
PIEDMONT NATURAL GAS CO INC(NC
PNY
+$2.34M
4
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$1.12M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$842K

Sector Composition

Rank Sector Weight
1 Financials 9.48%
2 Technology 5.84%
3 Energy 4.14%
4 Healthcare 3.95%
5 Industrials 3.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VIAV icon
1226
Viavi Solutions
VIAV
$9.66B
$0 ﹤0.01%
2
-10
-83% -$78
VKI icon
1227
Invesco Advantage Municipal Income Trust II
VKI
$401M
– –
-5,850
Closed -$66.4K
WPM icon
1228
Wheaton Precious Metals
WPM
$60.9B
– –
-400
Closed -$10K
XSLV icon
1229
Invesco S&P SmallCap Low Volatility ETF
XSLV
$247M
$0 ﹤0.01%
15
– –
TPC
1230
Tutor Perini Cor
TPC
$5.21B
$0 ﹤0.01%
5
– –
SPWR
1231
DELISTED
SunPower Corporation Common Stock
SPWR
$0 ﹤0.01%
52
– –
MTBL
1232
DELISTED
Moatable, Inc. American Depositary Share (each representing forty-five (45) Class A Ordinary Shares)
MTBL
– –
-133
Closed –
SPLK
1233
DELISTED
Splunk Inc
SPLK
– –
-45
Closed -$2K
IMGN
1234
DELISTED
Immunogen Inc
IMGN
$0 ﹤0.01%
209
– –
VRTV
1235
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
5
– –
VMW
1236
DELISTED
VMware, Inc
VMW
– –
-35
Closed -$2K
RAD
1237
DELISTED
Rite Aid Corporation
RAD
– –
-253
Closed -$38K
SPNE
1238
DELISTED
SeaSpine Holdings Corporation Common Stock
SPNE
$0 ﹤0.01%
4
– –
SQBG
1239
DELISTED
Sequential Brands Group, Inc.
SQBG
– –
0
– –
NAV
1240
DELISTED
Navistar International
NAV
$0 ﹤0.01%
+10
New +$271
PE
1241
DELISTED
PARSLEY ENERGY INC
PE
$0 ﹤0.01%
24
– –
TIF
1242
DELISTED
Tiffany & Co.
TIF
– –
-47
Closed -$3K
HTZ
1243
DELISTED
Hertz Global Holdings, Inc.
HTZ
$0 ﹤0.01%
46
– –
NE
1244
DELISTED
Noble Corporation
NE
$0 ﹤0.01%
150
-100
-40% -$589
JCP
1245
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
25
– –
QHC
1246
DELISTED
Quorum Health Corporation
QHC
$0 ﹤0.01%
3
– –
LPT
1247
DELISTED
Liberty Property Trust
LPT
– –
-100
Closed -$4K
NRE
1248
DELISTED
NorthStar Realty Europe Corp.
NRE
$0 ﹤0.01%
45
– –
CYHHZ
1249
DELISTED
Community Health Systems, Inc. Series A Contingent Value Rights
CYHHZ
$0 ﹤0.01%
189
– –
FCB
1250
DELISTED
FCB Financial Holdings, Inc.
FCB
$0 ﹤0.01%
10
– –
48 49
50
51 52

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6M
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RFA
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CCT
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Carroll Financial Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Carroll Financial Associates held 1,296 positions worth $701M, up 5.2% from $666M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

Carroll Financial Associates's Q4 2016 filing shows 50 new, 228 increased, 255 reduced and 65 closed positions. Its largest new stake was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K. The largest sale was Park Sterling Corp., an estimated $2.87M.

By sector, the portfolio is most concentrated in Financials at 9.5% of assets, up from 8.9% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q4 2016 buy was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q4 2016, an estimated $5.71M increase.
  • Carroll Financial Associates's biggest Q4 2016 reduction was Park Sterling Corp., cutting an estimated $2.87M.
  • Carroll Financial Associates fully exited PIEDMONT NATURAL GAS CO INC(NC in Q4 2016, selling an estimated $2.34M.
  • Carroll Financial Associates's ten largest holdings make up 46% of its $701M portfolio in Q4 2016.
  • Carroll Financial Associates opened 50 new positions and closed 65 in Q4 2016.
  • Carroll Financial Associates's portfolio value rose 5.2% quarter-over-quarter to $701M.

Based on Carroll Financial Associates's 13F filing for Q4 2016, filed 11 Jan 2017.