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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
+5.33%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$480M
AUM Growth
+$29.3M
Cap. Flow
+$33.2M
Cap. Flow %
6.9%
Top 10 Hldgs %
43.82%
Holding
1,246
New
78
Increased
268
Reduced
227
Closed
63

Top Buys

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$13.4M
2
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$12.4M
3
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.78M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$4.38M
5
GPT
Gramercy Property Trust
GPT
+$3.09M

Top Sells

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$4.88M
2
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$3.95M
3
HTS
HATTERAS FINANCIAL CORP
HTS
+$2.22M
4
SE
Spectra Energy Corp Wi
SE
+$1.92M
5
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.58M

Sector Composition

Rank Sector Weight
1 Financials 11.29%
2 Technology 7.22%
3 Energy 5.11%
4 Consumer Staples 4.93%
5 Healthcare 4.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AMT icon
176
American Tower
AMT
$80.4B
$257K 0.05%
2,655
-9
-0.3% -$877
ITW icon
177
Illinois Tool Works
ITW
$84.5B
$257K 0.05%
2,774
+1,617
+140% +$147K
SDY icon
178
State Street SPDR S&P Dividend ETF
SDY
$23.9B
$256K 0.05%
3,483
-162
-4% -$12.3K
SEP
179
DELISTED
Spectra Engy Parters Lp
SEP
$256K 0.05%
5,377
+287
+6% +$12.2K
AXP icon
180
American Express
AXP
$230B
$255K 0.05%
3,671
-332
-8% -$24.2K
PAYX icon
181
Paychex
PAYX
$42.7B
$255K 0.05%
4,834
+418
+9% +$21.8K
ABT icon
182
Abbott
ABT
$187B
$253K 0.05%
5,636
+160
+3% +$7.06K
BDCS
183
DELISTED
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
$253K 0.05%
12,500
+3,140
+34% +$64.3K
BHI
184
DELISTED
Baker Hughes
BHI
$252K 0.05%
5,476
– –
ESRX
185
DELISTED
Express Scripts Holding Company
ESRX
$249K 0.05%
2,850
+405
+17% +$34.7K
LUMN icon
186
Lumen
LUMN
$6.44B
$248K 0.05%
9,883
+42
+0.4% +$1.13K
IEUR icon
187
iShares Core MSCI Europe ETF
IEUR
$9.16B
$247K 0.05%
5,870
+4,035
+220% +$175K
BSJH
188
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
$245K 0.05%
9,850
+8,380
+570% +$213K
RSP icon
189
Invesco S&P 500 Equal Weight ETF
RSP
$99.5B
$235K 0.05%
3,078
-2,540
-45% -$197K
GSK icon
190
GSK
GSK
$106B
$232K 0.05%
4,616
– –
VNQ icon
191
Vanguard Real Estate ETF
VNQ
$39B
$231K 0.05%
2,900
– –
ED icon
192
Consolidated Edison
ED
$39.9B
$230K 0.05%
3,588
– –
FITB
193
Fifth Third Bancorp
FITB
$51.8B
$230K 0.05%
11,491
-1,950
-15% -$38.6K
FXG icon
194
First Trust Consumer Staples AlphaDEX Fund
FXG
$227M
$230K 0.05%
5,194
+975
+23% +$42.6K
CMCSA icon
195
Comcast
CMCSA
$90B
$229K 0.05%
8,126
+3,194
+65% +$96.2K
DXJ icon
196
WisdomTree Japan Hedged Equity Fund
DXJ
$7.42B
$225K 0.05%
4,503
-350
-7% -$18.6K
PBP icon
197
Invesco S&P 500 BuyWrite ETF
PBP
$362M
$225K 0.05%
11,000
– –
PRFZ icon
198
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.89B
$225K 0.05%
12,025
– –
PNC icon
199
PNC Financial Services
PNC
$101B
$223K 0.05%
2,344
+214
+10% +$19.9K
NWL icon
200
Newell Brands
NWL
$2.56B
$220K 0.05%
5,000
– –
6 7
8
9 10

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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
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CC
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RM
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Carroll Financial Associates's Q4 2015 Portfolio in Review

As of Q4 2015, Carroll Financial Associates held 1,246 positions worth $480M, up 6.5% from $451M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $33.2M of net new capital in Q4 2015, opening 78 new positions and adding to 268 existing holdings. Its largest new stake was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was JP Morgan Alerian MLP Index ETN 5/24/24, an estimated $4.88M trimmed.

  • Carroll Financial Associates's largest Q4 2015 buy was Global X MLP & Energy Infrastructure ETF: 309,063 shares worth $10.8M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q4 2015, an estimated $13.4M increase.
  • Carroll Financial Associates's biggest Q4 2015 reduction was JP Morgan Alerian MLP Index ETN 5/24/24, cutting an estimated $4.88M.
  • Carroll Financial Associates fully exited CHAMBERS STR PPTYS COM in Q4 2015, selling an estimated $1.58M.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $480M portfolio in Q4 2015.
  • Carroll Financial Associates opened 78 new positions and closed 63 in Q4 2015.
  • Carroll Financial Associates's portfolio value rose 6.5% quarter-over-quarter to $480M.

Based on Carroll Financial Associates's 13F filing for Q4 2015, filed 12 Jan 2016.