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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
+3.57%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$878M
AUM Growth
+$50.8M
Cap. Flow
+$12.8M
Cap. Flow %
1.46%
Top 10 Hldgs %
47.08%
Holding
1,346
New
83
Increased
259
Reduced
310
Closed
70

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$13.1M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$11.3M
3
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$6.91M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.07M
5
RTX icon
RTX Corp
RTX
+$4.07M

Top Sells

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$14.9M
2
DD icon
DuPont de Nemours
DD
+$7.88M
3
XIVH
VelocityShares VIX Short Volatility Hedged ETN
XIVH
+$3.8M
4
DD
Du Pont De Nemours E I
DD
+$1.5M
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$1.33M

Sector Composition

Rank Sector Weight
1 Financials 8.75%
2 Technology 5.53%
3 Healthcare 3.99%
4 Energy 3.84%
5 Industrials 3.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LULU icon
1226
lululemon athletica
LULU
$14.2B
– –
-200
Closed -$11K
LYG icon
1227
Lloyds Banking Group
LYG
$90B
– –
-299
Closed -$1K
LYV icon
1228
Live Nation Entertainment
LYV
$42.3B
$0 ﹤0.01%
16
– –
MT icon
1229
ArcelorMittal
MT
$55.2B
$0 ﹤0.01%
2
– –
NAVI icon
1230
Navient
NAVI
$892M
– –
-1,000
Closed -$16K
NRG icon
1231
NRG Energy
NRG
$25B
$0 ﹤0.01%
8
-2
-20% -$47
NRT
1232
North European Oil Royalty Trust
NRT
$81.4M
$0 ﹤0.01%
65
– –
NWSA icon
1233
News Corp Class A
NWSA
$16B
$0 ﹤0.01%
27
– –
NXDT
1234
NexPoint Diversified Real Estate Trust
NXDT
$235M
$0 ﹤0.01%
+35
New +$780
OVV icon
1235
Ovintiv
OVV
$16.6B
$0 ﹤0.01%
+17
New +$831
OZK icon
1236
Bank OZK
OZK
$5.63B
$0 ﹤0.01%
2
– –
PGF icon
1237
Invesco Financial Preferred ETF
PGF
$672M
– –
-1,990
Closed -$38K
IFLN
1238
Invesco Bloomberg Enhanced Fallen Angels ETF
IFLN
$306M
$0 ﹤0.01%
52
– –
PHK
1239
PIMCO High Income Fund
PHK
$878M
$0 ﹤0.01%
7
– –
PIM
1240
Franklin Master Intermediate Income Trust
PIM
$151M
$0 ﹤0.01%
60
– –
PIPR icon
1241
Piper Sandler
PIPR
$5.26B
$0 ﹤0.01%
16
– –
PLUG icon
1242
Plug Power
PLUG
$2.89B
$0 ﹤0.01%
10
– –
PRTA icon
1243
Prothena Corp
PRTA
$449M
$0 ﹤0.01%
1
– –
REET icon
1244
iShares Global REIT ETF
REET
$5.08B
$0 ﹤0.01%
1
– –
RGT
1245
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
RHI icon
1246
Robert Half
RHI
$4.16B
– –
-27
Closed -$1K
SCHA icon
1247
Schwab U.S Small- Cap ETF
SCHA
$22.8B
$0 ﹤0.01%
28
– –
SCHC icon
1248
Schwab International Small-Cap Equity ETF
SCHC
$5.59B
$0 ﹤0.01%
12
– –
SCHE icon
1249
Schwab Emerging Markets Equity ETF
SCHE
$12.8B
$0 ﹤0.01%
18
– –
SCHF icon
1250
Schwab International Equity ETF
SCHF
$68B
$0 ﹤0.01%
38
– –
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 2017 Portfolio in Review

As of Q3 2017, Carroll Financial Associates held 1,346 positions worth $878M, up 6.1% from $827M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q3 2017 filing shows 83 new, 259 increased, 310 reduced and 70 closed positions. Its largest new stake was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M. The largest sale was iShares MSCI USA Momentum Factor ETF, an estimated $14.9M.

By sector, the portfolio is most concentrated in Financials at 8.7% of assets, down from 8.9% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2017 buy was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q3 2017, an estimated $13.1M increase.
  • Carroll Financial Associates's biggest Q3 2017 reduction was iShares MSCI USA Momentum Factor ETF, cutting an estimated $14.9M.
  • Carroll Financial Associates fully exited DuPont de Nemours in Q3 2017, selling an estimated $7.88M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $878M portfolio in Q3 2017.
  • Carroll Financial Associates opened 83 new positions and closed 70 in Q3 2017.
  • Carroll Financial Associates's portfolio value rose 6.1% quarter-over-quarter to $878M.

Based on Carroll Financial Associates's 13F filing for Q3 2017, filed 25 Oct 2017.