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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
+3.28%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$598M
AUM Growth
+$59.6M
Cap. Flow
+$43.1M
Cap. Flow %
7.2%
Top 10 Hldgs %
43.55%
Holding
1,314
New
74
Increased
273
Reduced
187
Closed
72

Top Buys

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$11.8M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.4M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.35M
4
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$5M
5
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$2.91M

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.79M
2
GE icon
GE Aerospace
GE
+$1.61M
3
KMI icon
Kinder Morgan
KMI
+$1.27M
4
PACW
PacWest Bancorp
PACW
+$702K
5
BDCS
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
+$633K

Sector Composition

Rank Sector Weight
1 Financials 9.27%
2 Technology 5.91%
3 Energy 5.03%
4 Healthcare 4.76%
5 Consumer Staples 4.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MLNX
1251
DELISTED
Mellanox Technologies, Ltd.
MLNX
$0 ﹤0.01%
9
– –
NRE
1252
DELISTED
NorthStar Realty Europe Corp.
NRE
$0 ﹤0.01%
45
+27
+150% +$303
UPL
1253
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
– –
-1,500
Closed –
CYHHZ
1254
DELISTED
Community Health Systems, Inc. Series A Contingent Value Rights
CYHHZ
$0 ﹤0.01%
+189
New +$1
FCB
1255
DELISTED
FCB Financial Holdings, Inc.
FCB
$0 ﹤0.01%
10
– –
EDGW
1256
DELISTED
Edgewater Technology Inc
EDGW
– –
-100
Closed –
ILG
1257
DELISTED
ILG, Inc Common Stock
ILG
$0 ﹤0.01%
18
+4
+29% +$57
FCRE
1258
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
– –
0
– –
ACTA
1259
DELISTED
Actua Corp
ACTA
$0 ﹤0.01%
1
– –
HSNI
1260
DELISTED
HSN, Inc.
HSNI
$0 ﹤0.01%
11
– –
PMC
1261
DELISTED
PharMerica Corporation
PMC
$0 ﹤0.01%
27
– –
WBMD
1262
DELISTED
WebMD Health Corp.
WBMD
$0 ﹤0.01%
11
– –
CCP
1263
DELISTED
Care Capital Properties, Inc.
CCP
$0 ﹤0.01%
15
-17
-53% -$445
UTEK
1264
DELISTED
Ultratech Inc.
UTEK
$0 ﹤0.01%
13
– –
BEAV
1265
DELISTED
B/E Aerospace Inc
BEAV
– –
-26
Closed -$1K
ELNK
1266
DELISTED
EarthLink Holdings Corp.
ELNK
$0 ﹤0.01%
+13
New +$80
BSCG
1267
DELISTED
Guggenheim BulletShares 2016 Corporate Bond ETF
BSCG
– –
-4,000
Closed -$88K
TLN
1268
DELISTED
Talen Energy Corporation
TLN
$0 ﹤0.01%
12
– –
COB
1269
DELISTED
CommunityOne Bancorp
COB
$0 ﹤0.01%
15
– –
WPG
1270
DELISTED
Washington Prime Group Inc.
WPG
$0 ﹤0.01%
6
– –
FMER
1271
DELISTED
FIRSTMERIT CORP
FMER
$0 ﹤0.01%
24
– –
RSE
1272
DELISTED
ROUSE PPTYS INC COM (DE)
RSE
$0 ﹤0.01%
19
– –
NTI
1273
DELISTED
NORTHERN TIER ENERGY LP CLASS A
NTI
– –
-75
Closed -$1K
CVC
1274
DELISTED
CABLEVISION SYS CP NY GRP CL-A
CVC
– –
-110
Closed -$3K
BXLT
1275
DELISTED
BAXALTA INC COM STK (DE)
BXLT
– –
-2,328
Closed -$94K
49 50
51
52 53

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Carroll Financial Associates's Q2 2016 Portfolio in Review

As of Q2 2016, Carroll Financial Associates held 1,314 positions worth $598M, up 11% from $538M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $43.1M of net new capital in Q2 2016, opening 74 new positions and adding to 273 existing holdings. Its largest new stake was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.

By sector, the portfolio is most concentrated in Financials at 9.3% of assets, down from 9.8% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares MSCI USA Min Vol Factor ETF, an estimated $5.79M trimmed.

  • Carroll Financial Associates's largest Q2 2016 buy was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.
  • Carroll Financial Associates added most to iShares MSCI USA Momentum Factor ETF in Q2 2016, an estimated $11.8M increase.
  • Carroll Financial Associates's biggest Q2 2016 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $5.79M.
  • Carroll Financial Associates fully exited UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com in Q2 2016, selling an estimated $633K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $598M portfolio in Q2 2016.
  • Carroll Financial Associates opened 74 new positions and closed 72 in Q2 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $598M.

Based on Carroll Financial Associates's 13F filing for Q2 2016, filed 18 Jul 2016.