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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
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$538M
AUM Growth
+$58M
Cap. Flow
+$46.6M
Cap. Flow %
8.66%
Top 10 Hldgs %
44.15%
Holding
1,319
New
136
Increased
373
Reduced
192
Closed
80

Top Buys

Rank Stock Value
1
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$11M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$8.68M
3
SCIU
Global X Scientific Beta US ETF
SCIU
+$7.1M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$6.75M
5
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$2.99M

Top Sells

Rank Stock Value
1
PHDG icon
Invesco S&P 500 Downside Hedged ETF
PHDG
+$8.16M
2
SE
Spectra Energy Corp Wi
SE
+$3.04M
3
MLPX icon
Global X MLP & Energy Infrastructure ETF
MLPX
+$1.14M
4
PKW icon
Invesco BuyBack Achievers ETF
PKW
+$765K
5
GPT
Gramercy Property Trust
GPT
+$611K

Sector Composition

Rank Sector Weight
1 Financials 9.82%
2 Technology 6.79%
3 Energy 4.95%
4 Consumer Staples 4.87%
5 Industrials 4.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BBRC
176
DELISTED
Columbia Beyond BRICs ETF
BBRC
$304K 0.06%
19,320
-1,700
-8% -$24.4K
DLTR icon
177
Dollar Tree
DLTR
$25.2B
$302K 0.06%
3,663
+37
+1% +$2.92K
SDY icon
178
State Street SPDR S&P Dividend ETF
SDY
$23.9B
$292K 0.05%
3,656
+173
+5% +$12.8K
ED icon
179
Consolidated Edison
ED
$39.9B
$286K 0.05%
3,733
+145
+4% +$10.3K
SBUX icon
180
Starbucks
SBUX
$120B
$286K 0.05%
4,806
-57
-1% -$3.32K
ITW icon
181
Illinois Tool Works
ITW
$84.5B
$285K 0.05%
2,784
+10
+0.4% +$926
XLF icon
182
State Street Financial Select Sector SPDR ETF
XLF
$58.2B
$279K 0.05%
14,153
+7,407
+110% +$141K
CMCSA icon
183
Comcast
CMCSA
$90B
$277K 0.05%
9,086
+960
+12% +$27.6K
AFT
184
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
$277K 0.05%
18,225
+8,225
+82% +$119K
CBI
185
DELISTED
Chicago Bridge & Iron Nv
CBI
$275K 0.05%
7,537
-2,150
-22% -$76.9K
AMT icon
186
American Tower
AMT
$80.4B
$274K 0.05%
2,681
+26
+1% +$2.43K
NEE icon
187
NextEra Energy
NEE
$177B
$273K 0.05%
9,256
+1,356
+17% +$38.1K
MGK icon
188
Vanguard Morningstar Mega Cap Growth ETF
MGK
$34.2B
$271K 0.05%
16,300
+7,000
+75% +$110K
FXG icon
189
First Trust Consumer Staples AlphaDEX Fund
FXG
$227M
$269K 0.05%
5,844
+650
+13% +$28.6K
ZBH icon
190
Zimmer Biomet
ZBH
$18.4B
$268K 0.05%
2,598
– –
SEP
191
DELISTED
Spectra Engy Parters Lp
SEP
$266K 0.05%
5,538
+161
+3% +$7.31K
COKE icon
192
Coca-Cola Consolidated
COKE
$12.8B
$263K 0.05%
16,510
-2,500
-13% -$42.5K
ACWI icon
193
iShares MSCI ACWI ETF
ACWI
$33.5B
$260K 0.05%
4,648
-775
-14% -$41.1K
APC
194
DELISTED
Anadarko Petroleum
APC
$255K 0.05%
5,478
-90
-2% -$3.65K
BSJG
195
DELISTED
Guggenheim BulletShares 2016 High Yield Corporate Bond ETF
BSJG
$255K 0.05%
9,890
+2,550
+35% +$65.5K
XMLV icon
196
Invesco S&P MidCap Low Volatility ETF
XMLV
$748M
$251K 0.05%
6,847
+403
+6% +$13.7K
BSJH
197
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
$251K 0.05%
9,850
– –
ABT icon
198
Abbott
ABT
$187B
$247K 0.05%
5,921
+285
+5% +$11.3K
RSP icon
199
Invesco S&P 500 Equal Weight ETF
RSP
$99.5B
$241K 0.04%
3,078
– –
IEUR icon
200
iShares Core MSCI Europe ETF
IEUR
$9.16B
$239K 0.04%
5,825
-45
-0.8% -$1.78K
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
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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
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RM
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Carroll Financial Associates's Q1 2016 Portfolio in Review

As of Q1 2016, Carroll Financial Associates held 1,319 positions worth $538M, up 12% from $480M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $46.6M of net new capital in Q1 2016, opening 136 new positions and adding to 373 existing holdings. Its largest new stake was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.

By sector, the portfolio is most concentrated in Financials at 9.8% of assets, down from 11% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was Invesco S&P 500 Downside Hedged ETF, an estimated $8.16M trimmed.

  • Carroll Financial Associates's largest Q1 2016 buy was Knowledge Leaders Developed World ETF: 76,428 shares worth $1.93M.
  • Carroll Financial Associates added most to Goldman Sachs ActiveBeta US Large Cap Equity ETF in Q1 2016, an estimated $11M increase.
  • Carroll Financial Associates's biggest Q1 2016 reduction was Invesco S&P 500 Downside Hedged ETF, cutting an estimated $8.16M.
  • Carroll Financial Associates fully exited UBS AG 2XMTHLY LEV LG EXCH TRD ACCESS SEC E-TRACS ALERIAN in Q1 2016, selling an estimated $541K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $538M portfolio in Q1 2016.
  • Carroll Financial Associates opened 136 new positions and closed 80 in Q1 2016.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $538M.

Based on Carroll Financial Associates's 13F filing for Q1 2016, filed 20 Apr 2016.