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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
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$538M
AUM Growth
+$58M
Cap. Flow
+$46.6M
Cap. Flow %
8.66%
Top 10 Hldgs %
44.15%
Holding
1,319
New
136
Increased
373
Reduced
192
Closed
80

Top Buys

Rank Stock Value
1
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$11M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$8.68M
3
SCIU
Global X Scientific Beta US ETF
SCIU
+$7.1M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$6.75M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$2.99M

Top Sells

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$8.16M
2
SE
Spectra Energy Corp Wi
SE
+$3.04M
3
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$1.14M
4
PKW icon
Invesco BuyBack Achievers ETF
PKW
+$765K
5
GPT
Gramercy Property Trust
GPT
+$611K

Sector Composition

Rank Sector Weight
1 Financials 9.82%
2 Technology 6.79%
3 Energy 4.95%
4 Consumer Staples 4.87%
5 Industrials 4.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LTS
1251
DELISTED
Ladenburg Thalmann Financial Services Inc
LTS
– –
-1,000
Closed -$2K
NRE
1252
DELISTED
NorthStar Realty Europe Corp.
NRE
$0 ﹤0.01%
18
– –
UPL
1253
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$0 ﹤0.01%
1,500
– –
MXWL
1254
DELISTED
Maxwell Technologies Inc
MXWL
– –
-1,465
Closed -$10K
FCB
1255
DELISTED
FCB Financial Holdings, Inc.
FCB
$0 ﹤0.01%
+10
New +$319
EDGW
1256
DELISTED
Edgewater Technology Inc
EDGW
$0 ﹤0.01%
100
– –
ETP
1257
DELISTED
Energy Transfer Partners, L.P.
ETP
– –
-1,000
Closed -$25K
PHH
1258
DELISTED
PHH Corporation
PHH
– –
-32
Closed –
ILG
1259
DELISTED
ILG, Inc Common Stock
ILG
$0 ﹤0.01%
14
– –
FCRE
1260
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
– –
0
– –
FINL
1261
DELISTED
Finish Line
FINL
– –
-25
Closed –
ACTA
1262
DELISTED
Actua Corp
ACTA
$0 ﹤0.01%
1
– –
TIME
1263
DELISTED
Time Inc.
TIME
$0 ﹤0.01%
62
+49
+377% +$705
HSNI
1264
DELISTED
HSN, Inc.
HSNI
$0 ﹤0.01%
11
– –
PMC
1265
DELISTED
PharMerica Corporation
PMC
$0 ﹤0.01%
27
– –
VALE.P
1266
DELISTED
Vale S A
VALE.P
– –
-19
Closed –
WBMD
1267
DELISTED
WebMD Health Corp.
WBMD
$0 ﹤0.01%
11
+8
+267% +$429
CCP
1268
DELISTED
Care Capital Properties, Inc.
CCP
$0 ﹤0.01%
32
-105
-77% -$2.91K
UTEK
1269
DELISTED
Ultratech Inc.
UTEK
$0 ﹤0.01%
13
– –
NRF
1270
DELISTED
NorthStar Realty Finance Corp.
NRF
$0 ﹤0.01%
54
– –
TLN
1271
DELISTED
Talen Energy Corporation
TLN
$0 ﹤0.01%
12
– –
COB
1272
DELISTED
CommunityOne Bancorp
COB
$0 ﹤0.01%
15
-4
-21% -$52
WPG
1273
DELISTED
Washington Prime Group Inc.
WPG
$0 ﹤0.01%
6
– –
FMER
1274
DELISTED
FIRSTMERIT CORP
FMER
$0 ﹤0.01%
24
– –
RSE
1275
DELISTED
ROUSE PPTYS INC COM (DE)
RSE
$0 ﹤0.01%
19
– –
49 50
51
52 53

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NFG
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6M
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RFA
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CCT
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RM
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Carroll Financial Associates's Q1 2016 Portfolio in Review

As of Q1 2016, Carroll Financial Associates held 1,319 positions worth $538M, up 12% from $480M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $46.6M of net new capital in Q1 2016, opening 136 new positions and adding to 373 existing holdings. Its largest new stake was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.

By sector, the portfolio is most concentrated in Financials at 9.8% of assets, down from 11% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Invesco S&P 500 Downside Hedged ETF, an estimated $8.16M trimmed.

  • Carroll Financial Associates's largest Q1 2016 buy was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.
  • Carroll Financial Associates added most to Goldman Sachs ActiveBeta US Large Cap Equity ETF in Q1 2016, an estimated $11M increase.
  • Carroll Financial Associates's biggest Q1 2016 reduction was Invesco S&P 500 Downside Hedged ETF, cutting an estimated $8.16M.
  • Carroll Financial Associates fully exited UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN in Q1 2016, selling an estimated $541K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $538M portfolio in Q1 2016.
  • Carroll Financial Associates opened 136 new positions and closed 80 in Q1 2016.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $538M.

Based on Carroll Financial Associates's 13F filing for Q1 2016, filed 20 Apr 2016.