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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
TEVA icon
151
Teva Pharmaceuticals
TEVA
$41.1B
$197K 0.06%
3,393
-57
-2% -$3.02K
HIG icon
152
Hartford Financial Services
HIG
$39.2B
$193K 0.06%
4,823
– –
BCS.PRD.CL
153
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$190K 0.06%
7,300
+1,500
+26% +$38.9K
VWO icon
154
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$187K 0.06%
4,481
-1,299
-22% -$57.7K
D icon
155
Dominion Energy
D
$58.9B
$186K 0.06%
2,521
-2,234
-47% -$154K
SIVR icon
156
abrdn Physical Silver Shares ETF
SIVR
$4.4B
$186K 0.06%
12,000
– –
C icon
157
Citigroup
C
$226B
$184K 0.06%
3,438
-79
-2% -$3.97K
APC
158
DELISTED
Anadarko Petroleum
APC
$179K 0.06%
1,925
-400
-17% -$43.1K
AXP icon
159
American Express
AXP
$229B
$178K 0.05%
1,945
-1,486
-43% -$134K
NSC icon
160
Norfolk Southern
NSC
$76.2B
$175K 0.05%
1,504
-46
-3% -$4.88K
NWL icon
161
Newell Brands
NWL
$2.55B
$174K 0.05%
5,000
– –
VER
162
DELISTED
VEREIT, Inc.
VER
$173K 0.05%
+4,000
New +$257K
ED icon
163
Consolidated Edison
ED
$39.7B
$172K 0.05%
2,713
-100
-4% -$5.68K
PNC icon
164
PNC Financial Services
PNC
$101B
$170K 0.05%
1,929
– –
BX icon
165
Blackstone
BX
$110B
$167K 0.05%
5,401
+306
+6% +$9.96K
IFGL icon
166
iShares International Developed Real Estate ETF
IFGL
$83.4M
$162K 0.05%
5,300
+300
+6% +$9.55K
TLM
167
DELISTED
TALISMAN ENERGY INC
TLM
$162K 0.05%
28,160
-8,350
-23% -$84.2K
F icon
168
Ford
F
$55.9B
$158K 0.05%
11,011
+652
+6% +$11.1K
ESRX
169
DELISTED
Express Scripts Holding Company
ESRX
$156K 0.05%
2,009
-139
-6% -$9.9K
MLM icon
170
Martin Marietta Materials
MLM
$33B
$150K 0.05%
1,200
– –
WPP icon
171
WPP
WPP
$5.94B
$148K 0.05%
1,480
– –
BCHP
172
DELISTED
EGA EMERGING GLOBAL SHS TR EGSHARES BLUE CHIP ETF (DE)
BCHP
$146K 0.05%
7,900
– –
USB icon
173
US Bancorp
USB
$99.6B
$144K 0.04%
3,274
+1,300
+66% +$54.9K
EPS icon
174
WisdomTree US LargeCap Fund
EPS
$1.65B
$142K 0.04%
6,000
– –
IWP icon
175
iShares Russell Mid-Cap Growth ETF
IWP
$20.7B
$140K 0.04%
3,050
+440
+17% +$19.6K
5 6
7
8 9

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TU
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NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

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.