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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
+5.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$785M
AUM Growth
+$84M
Cap. Flow
+$49.3M
Cap. Flow %
6.28%
Top 10 Hldgs %
45.22%
Holding
1,307
New
75
Increased
250
Reduced
239
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
SGOL icon
1226
abrdn Physical Gold Shares ETF
SGOL
$7.41B
– –
-17,500
Closed -$195K
SHM icon
1227
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.47B
– –
-90
Closed -$4K
SHY icon
1228
iShares 1-3 Year Treasury Bond ETF
SHY
$25.1B
$0 ﹤0.01%
8
– –
SHYG icon
1229
iShares 0-5 Year High Yield Corporate Bond ETF
SHYG
$7.62B
$0 ﹤0.01%
16
– –
SIG icon
1230
Signet Jewelers
SIG
$3.76B
– –
-73
Closed -$6K
SJNK icon
1231
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.76B
– –
-17
Closed –
SJT
1232
San Juan Basin Royalty Trust
SJT
$118M
– –
-150
Closed –
SNV
1233
DELISTED
Synovus
SNV
$0 ﹤0.01%
17
– –
SONN
1234
DELISTED
Sonnet BioTherapeutics
SONN
– –
0
– –
STRL icon
1235
Sterling Infrastructure
STRL
$16.7B
$0 ﹤0.01%
4
– –
TDC icon
1236
Teradata
TDC
$2.55B
$0 ﹤0.01%
+12
New +$363
TFI icon
1237
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.14B
– –
-133
Closed -$6K
TFX icon
1238
Teleflex
TFX
$5.96B
– –
-1
Closed –
TXRH icon
1239
Texas Roadhouse
TXRH
$13.6B
– –
-11
Closed –
USA icon
1240
Liberty All-Star Equity Fund
USA
$1.85B
$0 ﹤0.01%
97
+1
+1% +$5
UWM icon
1241
ProShares Ultra Russell2000
UWM
$249M
– –
-112
Closed -$3K
VALE icon
1242
Vale
VALE
$62.6B
$0 ﹤0.01%
26
– –
VHT icon
1243
Vanguard Health Care ETF
VHT
$18.6B
– –
-136
Closed -$17K
VIAV icon
1244
Viavi Solutions
VIAV
$9.66B
$0 ﹤0.01%
2
– –
VNQI icon
1245
Vanguard Global ex-US Real Estate ETF
VNQI
$3.53B
$0 ﹤0.01%
4
-41
-91% -$2.13K
XSLV icon
1246
Invesco S&P SmallCap Low Volatility ETF
XSLV
$247M
$0 ﹤0.01%
15
– –
INVX
1247
Innovex International
INVX
$1.96B
– –
-450
Closed -$27K
TPC
1248
Tutor Perini Cor
TPC
$5.21B
$0 ﹤0.01%
5
– –
SPWR
1249
DELISTED
SunPower Corporation Common Stock
SPWR
$0 ﹤0.01%
52
– –
IMGN
1250
DELISTED
Immunogen Inc
IMGN
$0 ﹤0.01%
209
– –
48 49
50
51 52

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RFA
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RM
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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 $49.3M of net new capital in Q1 2017, opening 75 new positions and adding to 250 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.