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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
AMU
1301
DELISTED
ETRACS Alerian MLP Index ETN
AMU
$0 ﹤0.01%
48
– –
BBT.PRG
1302
DELISTED
BB&T Corporation Depositary Shares each representing 1/1,000th interest in a share of Series G Non-C
BBT.PRG
– –
-2,510
Closed -$63K
LPNT
1303
DELISTED
LifePoint Health, Inc.
LPNT
$0 ﹤0.01%
1
– –
WR
1304
DELISTED
Westar Energy Inc
WR
– –
-118
Closed -$5K
FCH
1305
DELISTED
Felcor Lodging Trust
FCH
$0 ﹤0.01%
21
– –
MOCO
1306
DELISTED
Mocon Inc
MOCO
– –
-150
Closed -$2K
KMI.WS
1307
DELISTED
Kinder Morgan Inc
KMI.WS
$0 ﹤0.01%
2,542
-821
-24% -$50
NEWN
1308
DELISTED
NEW ENG SYS GRP COM STK (NV)
NEWN
$0 ﹤0.01%
30
– –
HAWK
1309
DELISTED
Blackhawk Network Holdings, Inc. Common Stock
HAWK
$0 ﹤0.01%
24
– –
STMP
1310
DELISTED
Stamps.com, Inc.
STMP
$0 ﹤0.01%
+4
New +$409
OIL
1311
DELISTED
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
– –
-3,500
Closed -$21K
CIT
1312
DELISTED
CIT Group Inc.
CIT
– –
-61
Closed -$2K
CB
1313
DELISTED
CHUBB CORPORATION
CB
– –
-898
Closed -$119K
FNSR
1314
DELISTED
Finisar Corp
FNSR
$0 ﹤0.01%
2
– –
GCVRZ
1315
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$0 ﹤0.01%
42
– –
ANAC
1316
DELISTED
ANACOR PHARMACEUTICALS INC COM
ANAC
$0 ﹤0.01%
+16
New +$1.18K
FRP
1317
DELISTED
FAIRPOINT COMMUNICATIONS INC.
FRP
– –
-29
Closed –
POM
1318
DELISTED
PEPCO HOLDINGS, INC.
POM
– –
-183
Closed -$4K
49 50 51 52
53

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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.