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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
+3.88%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$701M
AUM Growth
+$34.8M
Cap. Flow
+$12.6M
Cap. Flow %
1.79%
Top 10 Hldgs %
45.65%
Holding
1,296
New
50
Increased
228
Reduced
255
Closed
65

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$5.71M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.33M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$4M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$3.71M
5
IVV icon
iShares Core S&P 500 ETF
IVV
+$1.58M

Top Sells

Rank Stock Value
1
PSTB
Park Sterling Corp.
PSTB
+$2.87M
2
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.52M
3
PNY
PIEDMONT NATURAL GAS CO INC(NC
PNY
+$2.34M
4
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$1.12M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$842K

Sector Composition

Rank Sector Weight
1 Financials 9.48%
2 Technology 5.84%
3 Energy 4.14%
4 Healthcare 3.95%
5 Industrials 3.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ATLS
1276
DELISTED
ATLAS ENERGY GRP,LLC COM UNITS REPSTG LTD (DE)
ATLS
$0 ﹤0.01%
117
– –
NLSN
1277
DELISTED
Nielsen Holdings plc
NLSN
– –
-90
Closed -$4K
STRZA
1278
DELISTED
Starz - Series A
STRZA
– –
-139
Closed -$4K
HYGS
1279
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
4
– –
DHG
1280
DELISTED
Deutsche High Incm Opportunities
DHG
$0 ﹤0.01%
50
– –
CA
1281
DELISTED
CA, Inc.
CA
$0 ﹤0.01%
7
– –
AMU
1282
DELISTED
ETRACS Alerian MLP Index ETN
AMU
$0 ﹤0.01%
48
– –
CEFL
1283
DELISTED
ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN
CEFL
– –
-4,190
Closed -$75K
MORL
1284
DELISTED
ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN
MORL
– –
-2,680
Closed -$42K
LPNT
1285
DELISTED
LifePoint Health, Inc.
LPNT
$0 ﹤0.01%
1
– –
KMI.WS
1286
DELISTED
Kinder Morgan Inc
KMI.WS
$0 ﹤0.01%
2,184
– –
MEMP
1287
DELISTED
Memorial Production Partners LP Common Units
MEMP
$0 ﹤0.01%
2,230
– –
SCTY
1288
DELISTED
SolarCity Corporation
SCTY
– –
-500
Closed -$9K
PNY
1289
DELISTED
PIEDMONT NATURAL GAS CO INC(NC
PNY
– –
-38,983
Closed -$2.34M
NEWN
1290
DELISTED
NEW ENG SYS GRP COM STK (NV)
NEWN
$0 ﹤0.01%
30
– –
HAWK
1291
DELISTED
Blackhawk Network Holdings, Inc. Common Stock
HAWK
$0 ﹤0.01%
24
– –
STMP
1292
DELISTED
Stamps.com, Inc.
STMP
$0 ﹤0.01%
4
– –
FNSR
1293
DELISTED
Finisar Corp
FNSR
$0 ﹤0.01%
1
– –
GCVRZ
1294
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$0 ﹤0.01%
42
– –
HOTRW
1295
DELISTED
CHANTICLEER HLDGS INC WTS EXP 6/11/2017 (DE)
HOTRW
$0 ﹤0.01%
+2,666
New –
48 49 50 51
52

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Carroll Financial Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Carroll Financial Associates held 1,296 positions worth $701M, up 5.2% from $666M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

Carroll Financial Associates's Q4 2016 filing shows 50 new, 228 increased, 255 reduced and 65 closed positions. Its largest new stake was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K. The largest sale was Park Sterling Corp., an estimated $2.87M.

By sector, the portfolio is most concentrated in Financials at 9.5% of assets, up from 8.9% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q4 2016 buy was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q4 2016, an estimated $5.71M increase.
  • Carroll Financial Associates's biggest Q4 2016 reduction was Park Sterling Corp., cutting an estimated $2.87M.
  • Carroll Financial Associates fully exited PIEDMONT NATURAL GAS CO INC(NC in Q4 2016, selling an estimated $2.34M.
  • Carroll Financial Associates's ten largest holdings make up 46% of its $701M portfolio in Q4 2016.
  • Carroll Financial Associates opened 50 new positions and closed 65 in Q4 2016.
  • Carroll Financial Associates's portfolio value rose 5.2% quarter-over-quarter to $701M.

Based on Carroll Financial Associates's 13F filing for Q4 2016, filed 11 Jan 2017.