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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
ALL icon
201
Allstate
ALL
$68B
$110K 0.03%
1,658
-176
-10% -$10.6K
NKSH icon
202
National Bankshares
NKSH
$269M
$110K 0.03%
3,500
– –
RDS.A
203
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$109K 0.03%
1,650
-797
-33% -$59.8K
STR
204
DELISTED
QUESTAR CORP
STR
$109K 0.03%
4,500
– –
CMCSA icon
205
Comcast
CMCSA
$90.1B
$108K 0.03%
4,096
-974
-19% -$26.7K
TLGT
206
DELISTED
Teligent, Inc
TLGT
$108K 0.03%
1,125
– –
RF icon
207
Regions Financial
RF
$26.9B
$107K 0.03%
10,548
-1,092
-9% -$11.1K
HPQ icon
208
HP
HPQ
$26.9B
$105K 0.03%
6,293
-278
-4% -$4.51K
CB icon
209
Chubb
CB
$136B
$102K 0.03%
925
+800
+640% +$83.4K
ABT icon
210
Abbott
ABT
$186B
$101K 0.03%
2,297
+865
+60% +$36.6K
BMS
211
DELISTED
Bemis
BMS
$101K 0.03%
2,600
-100
-4% -$3.98K
CB
212
DELISTED
CHUBB CORPORATION
CB
$101K 0.03%
1,003
-7
-0.7% -$637
CATO icon
213
Cato Corp
CATO
$66.5M
$99K 0.03%
2,763
– –
NLY icon
214
Annaly Capital Management
NLY
$17.4B
$99K 0.03%
2,206
+500
+29% +$22.8K
ROST icon
215
Ross Stores
ROST
$81.4B
$99K 0.03%
2,438
– –
QEP
216
DELISTED
QEP RESOURCES, INC.
QEP
$99K 0.03%
4,000
– –
SNDS
217
DELISTED
SUSTAINABLE NORTH AMERICAN OIL SANDS ETF
SNDS
$97K 0.03%
4,250
-2,000
-32% -$45.6K
DE icon
218
Deere & Co
DE
$169B
$96K 0.03%
1,096
+37
+3% +$3.16K
CNL
219
DELISTED
CLECO CRP (HOLDING CO)
CNL
$96K 0.03%
1,800
– –
ETN icon
220
Eaton
ETN
$175B
$95K 0.03%
1,393
– –
GS icon
221
Goldman Sachs
GS
$302B
$95K 0.03%
500
– –
L icon
222
Loews
L
$23.6B
$95K 0.03%
2,189
– –
DVN icon
223
Devon Energy
DVN
$47.9B
$94K 0.03%
1,460
+1,100
+306% +$81.8K
HON icon
224
Honeywell
HON
$78B
$94K 0.03%
1,084
-1,192
-52% -$101K
LLY icon
225
Eli Lilly
LLY
$1.05T
$94K 0.03%
1,399
-270
-16% -$17.1K
7 8
9
10 11

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NFG
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6M
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RFA
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CCT
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C
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CC
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RM
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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.