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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
+0.1%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$324M
AUM Growth
-$33.2M
Cap. Flow
-$39.8M
Cap. Flow %
-12.28%
Top 10 Hldgs %
40.98%
Holding
1,053
New
82
Increased
100
Reduced
249
Closed
124

Top Buys

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$7.19M
2
RCAP
RCS CAPITAL CORPORATION CLASS A COM
RCAP
+$1.32M
3
BBRC
Columbia Beyond BRICs ETF
BBRC
+$1.21M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$617K
5
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$474K

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.83M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.43M
3
IOO icon
iShares Global 100 ETF
IOO
+$3.86M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.88M
5
FEZ icon
State Street SPDR EURO STOXX 50 ETF
FEZ
+$2.34M

Sector Composition

Rank Sector Weight
1 Financials 12.76%
2 Technology 10.02%
3 Energy 8.24%
4 Healthcare 6.21%
5 Industrials 4.9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CXP
126
DELISTED
COLUMBIA PROPERTY TRUST, INC.
CXP
$279K 0.09%
11,239
-2,491
-18% -$63.2K
SNDK
127
DELISTED
SANDISK CORP
SNDK
$278K 0.09%
3,000
– –
FITB
128
Fifth Third Bancorp
FITB
$51.8B
$269K 0.08%
13,328
-338
-2% -$6.94K
QQQ icon
129
Invesco QQQ Trust
QQQ
$484B
$262K 0.08%
2,568
-24
-0.9% -$2.34K
JCI icon
130
Johnson Controls International
JCI
$92.2B
$258K 0.08%
4,973
-1,432
-22% -$72.2K
RJF icon
131
Raymond James Financial
RJF
$34B
$258K 0.08%
6,750
– –
WMB icon
132
Williams Companies
WMB
$86.1B
$257K 0.08%
4,675
-4,175
-47% -$240K
UNP icon
133
Union Pacific
UNP
$174B
$254K 0.08%
2,102
-1,224
-37% -$127K
ZBH icon
134
Zimmer Biomet
ZBH
$18.4B
$253K 0.08%
2,346
– –
VCR icon
135
Vanguard Consumer Discretionary ETF
VCR
$6.33B
$251K 0.08%
2,248
-60
-3% -$6.59K
PRFZ icon
136
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.89B
$249K 0.08%
12,500
-1,500
-11% -$29.5K
IYW icon
137
iShares US Technology ETF
IYW
$25.2B
$245K 0.08%
9,576
– –
NVS icon
138
Novartis
NVS
$297B
$240K 0.07%
2,889
-296
-9% -$23.9K
SSB icon
139
SouthState Bank Corp
SSB
$10.5B
$229K 0.07%
+3,685
New +$218K
STI
140
DELISTED
SunTrust Banks, Inc.
STI
$227K 0.07%
5,717
-1,788
-24% -$69K
DLTR icon
141
Dollar Tree
DLTR
$25.2B
$225K 0.07%
3,670
-300
-8% -$16.5K
KMP
142
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
$223K 0.07%
2,370
-2,986
-56% -$266K
SPY icon
143
State Street SPDR S&P 500 ETF Trust
SPY
$823B
$214K 0.07%
1,051
-44,685
-98% -$8.83M
ET icon
144
Energy Transfer Partners
ET
$69.3B
$210K 0.06%
6,800
– –
PPG icon
145
PPG Industries
PPG
$26.6B
$209K 0.06%
2,046
– –
GBDC icon
146
Golub Capital BDC
GBDC
$3.42B
$206K 0.06%
12,150
– –
GPC icon
147
Genuine Parts
GPC
$18.7B
$202K 0.06%
2,027
– –
COST icon
148
Costco
COST
$420B
$199K 0.06%
1,455
+312
+27% +$37.7K
SGOL icon
149
abrdn Physical Gold Shares ETF
SGOL
$7.41B
$199K 0.06%
17,500
-3,000
-15% -$37.7K
PHYS icon
150
Sprott Physical Gold
PHYS
$15.7B
$197K 0.06%
+20,500
New +$217K
4 5
6
7 8

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Carroll Financial Associates's Q3 2014 Portfolio in Review

As of Q3 2014, Carroll Financial Associates held 1,053 positions worth $324M, down 9.3% from $357M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Carroll Financial Associates withdrew a net $39.8M in Q3 2014, closing 124 positions and reducing 249 holdings. Its most notable exit was Atlantic Union Bankshares, an estimated $872K position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 12% a quarter earlier, followed by Technology and Energy.

Against the trend, Carroll Financial Associates opened a new position in Invesco S&P 500 Downside Hedged ETF worth $7.45M.

  • Carroll Financial Associates's largest Q3 2014 buy was Invesco S&P 500 Downside Hedged ETF: 251,160 shares worth $7.45M.
  • Carroll Financial Associates added most to Columbia Beyond BRICs ETF in Q3 2014, an estimated $1.21M increase.
  • Carroll Financial Associates's biggest Q3 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.83M.
  • Carroll Financial Associates fully exited Atlantic Union Bankshares in Q3 2014, selling an estimated $872K.
  • Carroll Financial Associates's ten largest holdings make up 41% of its $324M portfolio in Q3 2014.
  • Carroll Financial Associates opened 82 new positions and closed 124 in Q3 2014.
  • Carroll Financial Associates's portfolio value fell 9.3% quarter-over-quarter to $324M.

Based on Carroll Financial Associates's 13F filing for Q3 2014, filed 13 Nov 2014.