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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
NPI
1276
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
– –
-830
Closed -$12K
EMC
1277
DELISTED
EMC CORPORATION
EMC
– –
-6,119
Closed -$166K
WPG
1278
DELISTED
Washington Prime Group Inc.
WPG
$0 ﹤0.01%
6
– –
GDF
1279
DELISTED
WESTERN ASSET GLB PARTNERS INCM FUND INC. COM
GDF
– –
-2,000
Closed -$17K
FMER
1280
DELISTED
FIRSTMERIT CORP
FMER
– –
-24
Closed –
FMLP
1281
DELISTED
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
– –
-57,900
Closed -$945K
EXAM
1282
DELISTED
EXAMWORKS GROUP INC COM STK (DE)
EXAM
– –
-154
Closed -$5K
IHS
1283
DELISTED
IHS INC CL-A COM STK
IHS
– –
-110
Closed -$12K
HTS
1284
DELISTED
HATTERAS FINANCIAL CORP
HTS
– –
-200
Closed -$3K
RSE
1285
DELISTED
ROUSE PPTYS INC COM (DE)
RSE
– –
-19
Closed –
GM.WS.A
1286
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
– –
-435
Closed -$8K
CPGX
1287
DELISTED
COLUMBIA PIPELINE GROUP IN COM STK (DE)
CPGX
– –
-4,685
Closed -$119K
CRC
1288
DELISTED
California Resources Corporation
CRC
– –
-1
Closed –
LINE
1289
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
– –
-2,999
Closed –
SSE
1290
DELISTED
SEVENTY SEVEN ENERGY INC COM
SSE
– –
-14
Closed –
BTU
1291
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
– –
-20
Closed –
ATLS
1292
DELISTED
ATLAS ENERGY GRP,LLC COM UNITS REPSTG LTD (DE)
ATLS
$0 ﹤0.01%
117
– –
HYGS
1293
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
4
– –
DHG
1294
DELISTED
Deutsche High Incm Opportunities
DHG
$0 ﹤0.01%
+50
New +$703
TYC
1295
DELISTED
TYCO INTL PLC COM SHS (IRL)
TYC
– –
-888
Closed -$39K
HOT
1296
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
– –
-11
Closed –
CA
1297
DELISTED
CA, Inc.
CA
$0 ﹤0.01%
7
– –
AMU
1298
DELISTED
ETRACS Alerian MLP Index ETN
AMU
$0 ﹤0.01%
48
– –
LPNT
1299
DELISTED
LifePoint Health, Inc.
LPNT
$0 ﹤0.01%
1
– –
FCH
1300
DELISTED
Felcor Lodging Trust
FCH
– –
-21
Closed –
49 50 51
52
53

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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.