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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
+2.92%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$666M
AUM Growth
+$68.1M
Cap. Flow
+$54.1M
Cap. Flow %
8.12%
Top 10 Hldgs %
45.11%
Holding
1,312
New
70
Increased
326
Reduced
189
Closed
67

Top Buys

Rank Stock Value
1
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$16.4M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.6M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$3.36M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$2.45M
5
XOM icon
ExxonMobil
XOM
+$2.01M

Top Sells

Rank Stock Value
1
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.12M
2
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$945K
3
WT icon
WisdomTree
WT
+$765K
4
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$535K
5
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$516K

Sector Composition

Rank Sector Weight
1 Financials 8.9%
2 Technology 6.08%
3 Energy 4.49%
4 Healthcare 4.43%
5 Consumer Staples 4.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
QHC
1251
DELISTED
Quorum Health Corporation
QHC
$0 ﹤0.01%
+3
New +$25
NRE
1252
DELISTED
NorthStar Realty Europe Corp.
NRE
$0 ﹤0.01%
45
– –
EHIC
1253
DELISTED
eHi Car Services Limited
EHIC
– –
-500
Closed -$5K
CYHHZ
1254
DELISTED
Community Health Systems, Inc. Series A Contingent Value Rights
CYHHZ
$0 ﹤0.01%
189
– –
FCB
1255
DELISTED
FCB Financial Holdings, Inc.
FCB
$0 ﹤0.01%
10
– –
ILG
1256
DELISTED
ILG, Inc Common Stock
ILG
$0 ﹤0.01%
18
– –
FCRE
1257
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
$0 ﹤0.01%
+1
New +$1
GXP
1258
DELISTED
Great Plains Energy Incorporated
GXP
$0 ﹤0.01%
34
– –
CHUBA
1259
DELISTED
CommerceHub, Inc. Series A Common Stock
CHUBA
$0 ﹤0.01%
+36
New +$511
CSRA
1260
DELISTED
CSRA Inc.
CSRA
– –
-750
Closed -$17K
ACTA
1261
DELISTED
Actua Corp
ACTA
$0 ﹤0.01%
1
– –
TIME
1262
DELISTED
Time Inc.
TIME
$0 ﹤0.01%
63
-1
-2% -$15
SYT
1263
DELISTED
Syngenta Ag
SYT
– –
-25
Closed -$1K
HSNI
1264
DELISTED
HSN, Inc.
HSNI
$0 ﹤0.01%
11
– –
PMC
1265
DELISTED
PharMerica Corporation
PMC
$0 ﹤0.01%
27
– –
BRCD
1266
DELISTED
Brocade Communications Systems, Inc. NEW
BRCD
– –
-125
Closed -$1K
WBMD
1267
DELISTED
WebMD Health Corp.
WBMD
$0 ﹤0.01%
11
– –
CCP
1268
DELISTED
Care Capital Properties, Inc.
CCP
$0 ﹤0.01%
15
– –
UTEK
1269
DELISTED
Ultratech Inc.
UTEK
$0 ﹤0.01%
13
– –
ELNK
1270
DELISTED
EarthLink Holdings Corp.
ELNK
– –
-13
Closed –
TLN
1271
DELISTED
Talen Energy Corporation
TLN
$0 ﹤0.01%
12
– –
CVT
1272
DELISTED
CVENT, INC.
CVT
– –
-281
Closed -$10K
FLTX
1273
DELISTED
Fleetmatics Group PLC
FLTX
– –
-170
Closed -$7K
STR
1274
DELISTED
QUESTAR CORP
STR
– –
-4,000
Closed -$101K
BCS.PR.CL
1275
DELISTED
BARCLAYS BANK PLC ADR SER 2 REPSTG PREF SHS SER 2 (UK)
BCS.PR.CL
– –
-800
Closed -$20K
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 Q3 2016 Portfolio in Review

As of Q3 2016, Carroll Financial Associates held 1,312 positions worth $666M, up 11% from $598M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $54.1M of net new capital in Q3 2016, opening 70 new positions and adding to 326 existing holdings. Its largest new stake was iShares Russell 1000 ETF: 1,252 shares worth $150K.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, down from 9.3% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Xtrackers MSCI Europe Hedged Equity ETF, an estimated $2.12M trimmed.

  • Carroll Financial Associates's largest Q3 2016 buy was iShares Russell 1000 ETF: 1,252 shares worth $150K.
  • Carroll Financial Associates added most to Knowledge Leaders Developed World ETF in Q3 2016, an estimated $16.4M increase.
  • Carroll Financial Associates's biggest Q3 2016 reduction was Xtrackers MSCI Europe Hedged Equity ETF, cutting an estimated $2.12M.
  • Carroll Financial Associates fully exited UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN in Q3 2016, selling an estimated $945K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $666M portfolio in Q3 2016.
  • Carroll Financial Associates opened 70 new positions and closed 67 in Q3 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $666M.

Based on Carroll Financial Associates's 13F filing for Q3 2016, filed 11 Oct 2016.