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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
WPG
1326
DELISTED
Washington Prime Group Inc.
WPG
$0 ﹤0.01%
6
– –
ATLS
1327
DELISTED
ATLAS ENERGY GRP,LLC COM UNITS REPSTG LTD (DE)
ATLS
$0 ﹤0.01%
117
– –
HYGS
1328
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
4
– –
CA
1329
DELISTED
CA, Inc.
CA
$0 ﹤0.01%
7
– –
AMU
1330
DELISTED
ETRACS Alerian MLP Index ETN
AMU
$0 ﹤0.01%
48
– –
CY
1331
DELISTED
Cypress Semiconductor
CY
– –
-125
Closed -$1K
GG
1332
DELISTED
Goldcorp Inc
GG
– –
-300
Closed -$3K
LPNT
1333
DELISTED
LifePoint Health, Inc.
LPNT
– –
-1
Closed –
JMBA
1334
DELISTED
Jamba, Inc.
JMBA
$0 ﹤0.01%
100
– –
SPLS
1335
DELISTED
Staples Inc
SPLS
– –
-675
Closed -$6K
HOTRW
1336
DELISTED
Chanticleer Holdings, Inc. Warrants Expiring 06/21/2017
HOTRW
– –
-267
Closed –
NTT
1337
DELISTED
Nippon Telegraph & Telephone
NTT
– –
-200
Closed -$9K
NEWN
1338
DELISTED
NEW ENG SYS GRP COM STK (NV)
NEWN
$0 ﹤0.01%
30
– –
KNGT
1339
DELISTED
KNIGHT TRANSPORTATION INC
KNGT
– –
-200
Closed -$7K
HAWK
1340
DELISTED
Blackhawk Network Holdings, Inc. Common Stock
HAWK
$0 ﹤0.01%
1
-23
-96% -$1K
RHT
1341
DELISTED
Red Hat Inc
RHT
– –
-200
Closed -$19K
FNSR
1342
DELISTED
Finisar Corp
FNSR
$0 ﹤0.01%
1
– –
GCVRZ
1343
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$0 ﹤0.01%
42
– –
SWFT
1344
DELISTED
Swift Transportation Company
SWFT
– –
-700
Closed -$18K
LMLP
1345
DELISTED
ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN
LMLP
– –
-32,960
Closed -$485K
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.