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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
+3.57%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$878M
AUM Growth
+$50.8M
Cap. Flow
+$12.8M
Cap. Flow %
1.46%
Top 10 Hldgs %
47.08%
Holding
1,346
New
83
Increased
259
Reduced
310
Closed
70

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$13.1M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$11.3M
3
MNA icon
IQ ARB Merger Arbitrage ETF
MNA
+$6.91M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.07M
5
RTX icon
RTX Corp
RTX
+$4.07M

Top Sells

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$14.9M
2
DD icon
DuPont de Nemours
DD
+$7.88M
3
XIVH
VelocityShares VIX Short Volatility Hedged ETN
XIVH
+$3.8M
4
DD
Du Pont De Nemours E I
DD
+$1.5M
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$1.33M

Sector Composition

Rank Sector Weight
1 Financials 8.75%
2 Technology 5.53%
3 Healthcare 3.99%
4 Energy 3.84%
5 Industrials 3.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NRE
1301
DELISTED
NorthStar Realty Europe Corp.
NRE
$0 ﹤0.01%
45
– –
UPL
1302
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$0 ﹤0.01%
+11
New +$100
HZNP
1303
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
– –
-700
Closed -$8K
CYHHZ
1304
DELISTED
Community Health Systems, Inc. Series A Contingent Value Rights
CYHHZ
$0 ﹤0.01%
189
– –
ILG
1305
DELISTED
ILG, Inc Common Stock
ILG
$0 ﹤0.01%
18
– –
FCRE
1306
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
$0 ﹤0.01%
1
– –
WIN
1307
DELISTED
Windstream Holdings Inc
WIN
$0 ﹤0.01%
1
-18
-95% -$239
CHUBA
1308
DELISTED
CommerceHub, Inc. Series A Common Stock
CHUBA
$0 ﹤0.01%
8
– –
CHUBK
1309
DELISTED
CommerceHub, Inc. Series C Common Stock
CHUBK
$0 ﹤0.01%
18
– –
CAA
1310
DELISTED
CalAtlantic Group, Inc.
CAA
– –
-250
Closed -$8K
ACTA
1311
DELISTED
Actua Corp
ACTA
$0 ﹤0.01%
1
– –
TIME
1312
DELISTED
Time Inc.
TIME
$0 ﹤0.01%
63
– –
HSNI
1313
DELISTED
HSN, Inc.
HSNI
$0 ﹤0.01%
11
– –
PMC
1314
DELISTED
PharMerica Corporation
PMC
$0 ﹤0.01%
14
– –
PRXL
1315
DELISTED
Parexel International Corp
PRXL
– –
-89
Closed -$7K
CAB
1316
DELISTED
Cabela's Inc
CAB
– –
-51
Closed -$3K
WBMD
1317
DELISTED
WebMD Health Corp.
WBMD
– –
-3
Closed –
IBMF
1318
DELISTED
iShares iBonds Sep 2017 Term Muni Bond ETF
IBMF
– –
-3,700
Closed -$100K
DD
1319
DELISTED
Du Pont De Nemours E I
DD
– –
-18,552
Closed -$1.5M
NVDQ
1320
DELISTED
Novadaq Technologies Inc.
NVDQ
– –
-361
Closed -$4K
CCP
1321
DELISTED
Care Capital Properties, Inc.
CCP
– –
-56
Closed -$1K
RAI
1322
DELISTED
Reynolds American Inc
RAI
– –
-2,176
Closed -$141K
BHI
1323
DELISTED
Baker Hughes
BHI
– –
-4,043
Closed -$220K
OKS
1324
DELISTED
Oneok Partners LP
OKS
– –
-400
Closed -$20K
AIII
1325
DELISTED
ACRE Realty Investors Inc
AIII
– –
-2,570
Closed -$2K
50 51 52
53
54

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Carroll Financial Associates's Q3 2017 Portfolio in Review

As of Q3 2017, Carroll Financial Associates held 1,346 positions worth $878M, up 6.1% from $827M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q3 2017 filing shows 83 new, 259 increased, 310 reduced and 70 closed positions. Its largest new stake was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M. The largest sale was iShares MSCI USA Momentum Factor ETF, an estimated $14.9M.

By sector, the portfolio is most concentrated in Financials at 8.7% of assets, down from 8.9% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2017 buy was Invesco S&P SmallCap 600 Revenue ETF: 85,920 shares worth $1.98M.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q3 2017, an estimated $13.1M increase.
  • Carroll Financial Associates's biggest Q3 2017 reduction was iShares MSCI USA Momentum Factor ETF, cutting an estimated $14.9M.
  • Carroll Financial Associates fully exited DuPont de Nemours in Q3 2017, selling an estimated $7.88M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $878M portfolio in Q3 2017.
  • Carroll Financial Associates opened 83 new positions and closed 70 in Q3 2017.
  • Carroll Financial Associates's portfolio value rose 6.1% quarter-over-quarter to $878M.

Based on Carroll Financial Associates's 13F filing for Q3 2017, filed 25 Oct 2017.