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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
TGT icon
176
Target
TGT
$68B
$140K 0.04%
2,140
-95
-4% -$5.75K
PAYX icon
177
Paychex
PAYX
$42.7B
$136K 0.04%
2,891
+882
+44% +$37.1K
OGE icon
178
OGE Energy
OGE
$9.72B
$134K 0.04%
3,566
– –
GMK
179
DELISTED
GRUMA SAB DE C V ADS(RP 4 B SHS
GMK
$133K 0.04%
3,000
– –
SCHW
180
Charles Schwab
SCHW
$187B
$132K 0.04%
4,600
– –
XLE icon
181
State Street Energy Select Sector SPDR ETF
XLE
$37.7B
$132K 0.04%
3,026
+900
+42% +$43.6K
PAA icon
182
Plains All American Pipeline
PAA
$16.1B
$131K 0.04%
2,462
– –
NEE icon
183
NextEra Energy
NEE
$177B
$130K 0.04%
4,992
– –
DXJ icon
184
WisdomTree Japan Hedged Equity Fund
DXJ
$7.41B
$129K 0.04%
2,391
+2,300
+2,527% +$116K
NI icon
185
NiSource
NI
$20.4B
$129K 0.04%
7,750
– –
ABBV icon
186
AbbVie
ABBV
$434B
$128K 0.04%
2,017
+975
+94% +$54.1K
PXH icon
187
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.96B
$128K 0.04%
6,500
-7,000
-52% -$154K
SHW icon
188
Sherwin-Williams
SHW
$89.8B
$126K 0.04%
1,593
+150
+10% +$10.6K
EMC
189
DELISTED
EMC CORPORATION
EMC
$126K 0.04%
4,355
-166
-4% -$4.79K
ETV
190
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.76B
$123K 0.04%
8,175
-3,685
-31% -$55.4K
HSY icon
191
Hershey
HSY
$36.6B
$122K 0.04%
1,269
+79
+7% +$7.32K
KMR
192
DELISTED
KINDER MORGAN MANAGEMENT LLC
KMR
$121K 0.04%
1,293
-3,077
-70% -$266K
DEO icon
193
Diageo
DEO
$53.5B
$120K 0.04%
1,017
-1
-0.1% -$121
GIS icon
194
General Mills
GIS
$19.7B
$120K 0.04%
2,359
+951
+68% +$49.9K
LH icon
195
Labcorp
LH
$25.9B
$118K 0.04%
1,377
-136
-9% -$12.3K
ORLY icon
196
O'Reilly Automotive
ORLY
$76.3B
$117K 0.04%
9,795
– –
IGSB icon
197
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$115K 0.04%
2,190
+2,000
+1,053% +$105K
DATA
198
DELISTED
Tableau Software, Inc.
DATA
$113K 0.03%
1,354
– –
CBI
199
DELISTED
Chicago Bridge & Iron Nv
CBI
$113K 0.03%
2,057
+2,000
+3,509% +$126K
GSK icon
200
GSK
GSK
$106B
$112K 0.03%
1,964
-326
-14% -$20K
6 7
8
9 10

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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.