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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
LINE
1276
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$0 ﹤0.01%
1,044
– –
SSE
1277
DELISTED
SEVENTY SEVEN ENERGY INC COM
SSE
$0 ﹤0.01%
14
– –
SNDK
1278
DELISTED
SANDISK CORP
SNDK
– –
-200
Closed -$15K
HPY
1279
DELISTED
HEARTLAND PAYMENT SYSTEMS, INC. COM STK
HPY
$0 ﹤0.01%
+5
New +$461
BTU
1280
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$0 ﹤0.01%
20
– –
ATLS
1281
DELISTED
ATLAS ENERGY GRP,LLC COM UNITS REPSTG LTD (DE)
ATLS
$0 ﹤0.01%
+117
New +$75
NBBC
1282
DELISTED
NEWBRIDGE BANCORP CLASS A COM STK (NC)
NBBC
– –
-1,861
Closed -$22K
PCL
1283
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
– –
-1,000
Closed -$47K
BRCM
1284
DELISTED
BROADCOM CORP CL-A
BRCM
– –
-540
Closed -$31K
MLPL
1285
DELISTED
UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN
MLPL
– –
-24,400
Closed -$541K
PCP
1286
DELISTED
PRECISION CASTPARTS CORP
PCP
– –
-46
Closed -$10K
UTIW
1287
DELISTED
UTI WORLDWIDE INC
UTIW
– –
-300
Closed -$2K
ACI
1288
DELISTED
ARCH COAL, INC.
ACI
$0 ﹤0.01%
60
– –
SD
1289
DELISTED
SANDRIDGE ENERGY, INC.
SD
$0 ﹤0.01%
2,000
– –
RCAP
1290
DELISTED
RCS CAPITAL CORPORATION CLASS A COM
RCAP
– –
-130,000
Closed -$39K
PGN
1291
DELISTED
PARAGON OFFSHORE PLC (GBR)
PGN
– –
-83
Closed –
SI
1292
DELISTED
SIEMENS AKTIENGESELLSCHAFT ADS
SI
– –
-200
Closed -$19K
AFFY
1293
DELISTED
Affymax Inc
AFFY
– –
-3,000
Closed –
SCMR
1294
DELISTED
SYCAMORE NETWORKS INC NEW
SCMR
– –
-2
Closed –
MKTAY
1295
DELISTED
MAKITA CORP SPONS ADR
MKTAY
– –
-195
Closed -$11K
MDTH
1296
DELISTED
MEDCATH CORPORATION
MDTH
$0 ﹤0.01%
500
– –
HYGS
1297
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
4
– –
HOT
1298
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
$0 ﹤0.01%
+11
New +$751
CA
1299
DELISTED
CA, Inc.
CA
$0 ﹤0.01%
7
– –
BBL
1300
DELISTED
BHP Group Plc American Depositary Shares (Each representing two Ordinary Shares)
BBL
– –
-44
Closed –
49 50 51
52
53

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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.