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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
CRC
1276
DELISTED
California Resources Corporation
CRC
$0 ﹤0.01%
1
-432
-100% -$6.87K
LINE
1277
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$0 ﹤0.01%
2,999
+1,955
+187% +$600
ARG
1278
DELISTED
Airgas Inc
ARG
– –
-76
Closed -$10K
SSE
1279
DELISTED
SEVENTY SEVEN ENERGY INC COM
SSE
$0 ﹤0.01%
14
– –
SZYM
1280
DELISTED
SOLAZYME INC COM STK (DE)
SZYM
– –
-1,750
Closed -$3K
BCS.PRC
1281
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
– –
-1,000
Closed -$25K
JTP
1282
DELISTED
NUVEEN QUALITY PFD INCOME FD
JTP
– –
-2,500
Closed -$20K
ADT
1283
DELISTED
ADT Corp
ADT
– –
-29
Closed -$1K
MHFI
1284
DELISTED
MCGRAW-HILL FINANCIAL INC COM
MHFI
– –
-651
Closed -$64K
HPY
1285
DELISTED
HEARTLAND PAYMENT SYSTEMS, INC. COM STK
HPY
– –
-5
Closed –
ACG
1286
DELISTED
AllianceBernstein Income Fund Inc
ACG
– –
-4,406
Closed -$34K
CNL
1287
DELISTED
CLECO CRP (HOLDING CO)
CNL
– –
-1,800
Closed -$99K
BTU
1288
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$0 ﹤0.01%
20
– –
NQU
1289
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
– –
-1,466
Closed -$21K
ATLS
1290
DELISTED
ATLAS ENERGY GRP,LLC COM UNITS REPSTG LTD (DE)
ATLS
$0 ﹤0.01%
117
– –
ALU
1291
DELISTED
Alcatel-Lucent
ALU
– –
-393
Closed -$1K
ACI
1292
DELISTED
ARCH COAL, INC.
ACI
– –
-60
Closed –
SD
1293
DELISTED
SANDRIDGE ENERGY, INC.
SD
– –
-2,000
Closed –
MDTH
1294
DELISTED
MEDCATH CORPORATION
MDTH
– –
-500
Closed –
HYGS
1295
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
4
– –
HOT
1296
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
$0 ﹤0.01%
11
– –
CA
1297
DELISTED
CA, Inc.
CA
$0 ﹤0.01%
7
– –
IRC
1298
DELISTED
INLAND REAL ESTATE CORP
IRC
– –
-1,860
Closed -$19K
BDCS
1299
DELISTED
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
– –
-31,040
Closed -$633K
AMU
1300
DELISTED
ETRACS Alerian MLP Index ETN
AMU
$0 ﹤0.01%
48
– –
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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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
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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.