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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
+2.92%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$666M
AUM Growth
+$68.1M
Cap. Flow
+$54.1M
Cap. Flow %
8.12%
Top 10 Hldgs %
45.11%
Holding
1,312
New
70
Increased
326
Reduced
189
Closed
67

Top Buys

Rank Stock Value
1
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$16.4M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.6M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$3.36M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$2.45M
5
XOM icon
ExxonMobil
XOM
+$2.01M

Top Sells

Rank Stock Value
1
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.12M
2
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
+$945K
3
WT icon
WisdomTree
WT
+$765K
4
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
+$535K
5
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$516K

Sector Composition

Rank Sector Weight
1 Financials 8.9%
2 Technology 6.08%
3 Energy 4.49%
4 Healthcare 4.43%
5 Consumer Staples 4.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DVY icon
126
iShares Select Dividend ETF
DVY
$23.6B
$590K 0.09%
6,893
+200
+3% +$17.3K
KHC icon
127
Kraft Heinz
KHC
$30B
$580K 0.09%
6,490
-198
-3% -$17.5K
IWF icon
128
iShares Russell 1000 Growth ETF
IWF
$128B
$576K 0.09%
22,148
+8,576
+63% +$223K
LQD icon
129
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$33B
$571K 0.09%
4,637
+420
+10% +$51.7K
EPD icon
130
Enterprise Products Partners
EPD
$81.7B
$570K 0.09%
20,662
+202
+1% +$5.58K
CVS icon
131
CVS Health
CVS
$122B
$569K 0.09%
6,394
– –
UNP icon
132
Union Pacific
UNP
$174B
$550K 0.08%
5,643
+1,127
+25% +$105K
FAST icon
133
Fastenal
FAST
$59.5B
$530K 0.08%
50,788
+1,436
+3% +$15.3K
PAYX icon
134
Paychex
PAYX
$42.7B
$518K 0.08%
8,963
+29
+0.3% +$1.74K
VGT icon
135
Vanguard Information Technology ETF
VGT
$149B
$513K 0.08%
34,104
+704
+2% +$10.2K
AFL icon
136
Aflac
AFL
$63.4B
$509K 0.08%
14,190
– –
XLF icon
137
State Street Financial Select Sector SPDR ETF
XLF
$58.2B
$503K 0.08%
26,112
+8,001
+44% +$165K
VV icon
138
Vanguard Morningstar Large-Cap ETF
VV
$54.3B
$493K 0.07%
4,979
– –
GIS icon
139
General Mills
GIS
$19.7B
$489K 0.07%
7,662
+501
+7% +$34.9K
IEMG icon
140
iShares Core MSCI Emerging Markets ETF
IEMG
$156B
$489K 0.07%
10,735
+1,432
+15% +$63.6K
QQQ icon
141
Invesco QQQ Trust
QQQ
$484B
$485K 0.07%
4,086
+360
+10% +$41.5K
HON icon
142
Honeywell
HON
$78B
$481K 0.07%
4,596
+120
+3% +$12.5K
AGZD icon
143
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
$135M
$478K 0.07%
20,040
+2,744
+16% +$65.6K
FXG icon
144
First Trust Consumer Staples AlphaDEX Fund
FXG
$227M
$473K 0.07%
10,188
+860
+9% +$41.3K
KMB icon
145
Kimberly-Clark
KMB
$36.5B
$472K 0.07%
3,742
+40
+1% +$5.17K
NKE icon
146
Nike
NKE
$61.9B
$468K 0.07%
8,893
-52
-0.6% -$2.94K
RWO icon
147
State Street SPDR Dow Jones Global Real Estate ETF
RWO
$1.3B
$468K 0.07%
9,401
+3,407
+57% +$173K
XLK icon
148
State Street Technology Select Sector SPDR ETF
XLK
$124B
$453K 0.07%
18,998
-6
-0% -$139
GOOGL icon
149
Alphabet (Google) Class A
GOOGL
$4.33T
$450K 0.07%
11,200
-460
-4% -$18K
MON
150
DELISTED
Monsanto Co
MON
$443K 0.07%
4,336
+278
+7% +$29.2K
4 5
6
7 8

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NFG
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6M
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RFA
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CCT
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Carroll Financial Associates's Q3 2016 Portfolio in Review

As of Q3 2016, Carroll Financial Associates held 1,312 positions worth $666M, up 11% from $598M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $54.1M of net new capital in Q3 2016, opening 70 new positions and adding to 326 existing holdings. Its largest new stake was iShares Russell 1000 ETF: 1,252 shares worth $150K.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, down from 9.3% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Xtrackers MSCI Europe Hedged Equity ETF, an estimated $2.12M trimmed.

  • Carroll Financial Associates's largest Q3 2016 buy was iShares Russell 1000 ETF: 1,252 shares worth $150K.
  • Carroll Financial Associates added most to Knowledge Leaders Developed World ETF in Q3 2016, an estimated $16.4M increase.
  • Carroll Financial Associates's biggest Q3 2016 reduction was Xtrackers MSCI Europe Hedged Equity ETF, cutting an estimated $2.12M.
  • Carroll Financial Associates fully exited UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN in Q3 2016, selling an estimated $945K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $666M portfolio in Q3 2016.
  • Carroll Financial Associates opened 70 new positions and closed 67 in Q3 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $666M.

Based on Carroll Financial Associates's 13F filing for Q3 2016, filed 11 Oct 2016.