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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
+5.11%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$785M
AUM Growth
+$84M
Cap. Flow
+$49.7M
Cap. Flow %
6.33%
Top 10 Hldgs %
45.22%
Holding
1,307
New
75
Increased
251
Reduced
238
Closed
52

Top Buys

Rank Stock Value
1
ENB icon
Enbridge
ENB
+$5.57M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$5.52M
3
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$5.48M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.65M
5
AXP icon
American Express
AXP
+$3.41M

Top Sells

Rank Stock Value
1
HSCZ icon
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
+$5.59M
2
SE
Spectra Energy Corp Wi
SE
+$3.64M
3
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$1.34M
4
VIIX
VelocityShares VIX Short Term ETN
VIIX
+$779K
5
LOB icon
Live Oak Bancshares
LOB
+$752K

Sector Composition

Rank Sector Weight
1 Financials 9.12%
2 Technology 5.75%
3 Energy 4.37%
4 Healthcare 4.06%
5 Industrials 3.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LQD icon
176
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$33B
$375K 0.05%
3,181
-1,741
-35% -$204K
CAT icon
177
Caterpillar
CAT
$401B
$373K 0.05%
4,029
+1,150
+40% +$109K
NEE icon
178
NextEra Energy
NEE
$179B
$370K 0.05%
11,560
+560
+5% +$17.6K
RTN
179
DELISTED
Raytheon Company
RTN
$370K 0.05%
2,428
+895
+58% +$135K
CMCSA icon
180
Comcast
CMCSA
$87.8B
$369K 0.05%
9,839
+1,373
+16% +$51K
WT icon
181
WisdomTree
WT
$3.37B
$369K 0.05%
40,680
+18,330
+82% +$177K
EFAV icon
182
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.42B
$364K 0.05%
5,520
-5,803
-51% -$371K
GSK icon
183
GSK
GSK
$103B
$364K 0.05%
6,924
+254
+4% +$12.9K
IYW icon
184
iShares US Technology ETF
IYW
$24.9B
$364K 0.05%
10,800
+140
+1% +$4.54K
COST icon
185
Costco
COST
$418B
$359K 0.05%
2,142
-108
-5% -$18.1K
PPG icon
186
PPG Industries
PPG
$26.5B
$359K 0.05%
3,422
-349
-9% -$35.3K
VNLA icon
187
Janus Henderson Short Duration Income ETF
VNLA
$3.35B
$359K 0.05%
+7,157
New +$359K
XMLV icon
188
Invesco S&P MidCap Low Volatility ETF
XMLV
$747M
$353K 0.05%
8,358
+178
+2% +$7.43K
AGG icon
189
iShares Core US Aggregate Bond ETF
AGG
$138B
$350K 0.04%
3,229
+476
+17% +$51.5K
TJX icon
190
TJX Companies
TJX
$177B
$349K 0.04%
8,850
-58
-0.7% -$2.23K
EFA icon
191
iShares MSCI EAFE ETF
EFA
$79.4B
$347K 0.04%
5,581
+429
+8% +$25.9K
ITW icon
192
Illinois Tool Works
ITW
$85.5B
$347K 0.04%
2,627
– –
BSJH
193
DELISTED
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF
BSJH
$344K 0.04%
13,415
– –
IJR icon
194
iShares Core S&P Small-Cap ETF
IJR
$112B
$343K 0.04%
4,972
+2,132
+75% +$147K
MGK icon
195
Vanguard Morningstar Mega Cap Growth ETF
MGK
$33.9B
$343K 0.04%
17,950
– –
RJF icon
196
Raymond James Financial
RJF
$34.7B
$343K 0.04%
6,750
– –
C icon
197
Citigroup
C
$231B
$340K 0.04%
5,686
+503
+10% +$29.8K
KKR icon
198
KKR & Co
KKR
$94.9B
$337K 0.04%
18,499
+1
+0% +$18
VRP icon
199
Invesco Variable Rate Preferred ETF
VRP
$3.01B
$337K 0.04%
13,276
+7,312
+123% +$184K
TIP icon
200
iShares TIPS Bond ETF
TIP
$14.5B
$331K 0.04%
2,891
+29
+1% +$3.3K
6 7
8
9 10

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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 Q1 2017 Portfolio in Review

As of Q1 2017, Carroll Financial Associates held 1,307 positions worth $785M, up 12% from $701M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates deployed $49.7M of net new capital in Q1 2017, opening 75 new positions and adding to 251 existing holdings. Its largest new stake was Enbridge: 131,920 shares worth $5.52M.

By sector, the portfolio is most concentrated in Financials at 9.1% of assets, down from 9.5% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, an estimated $5.59M trimmed.

  • Carroll Financial Associates's largest Q1 2017 buy was Enbridge: 131,920 shares worth $5.52M.
  • Carroll Financial Associates added most to Invesco FTSE RAFI US 1000 ETF in Q1 2017, an estimated $5.52M increase.
  • Carroll Financial Associates's biggest Q1 2017 reduction was iShares Currency Hedged MSCI EAFE Small-Cap ETF, cutting an estimated $5.59M.
  • Carroll Financial Associates fully exited Spectra Energy Corp Wi in Q1 2017, selling an estimated $3.64M.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $785M portfolio in Q1 2017.
  • Carroll Financial Associates opened 75 new positions and closed 52 in Q1 2017.
  • Carroll Financial Associates's portfolio value rose 12% quarter-over-quarter to $785M.

Based on Carroll Financial Associates's 13F filing for Q1 2017, filed 11 Apr 2017.