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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
BCS.PRD.CL
201
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$220K 0.05%
8,300
– –
XMLV icon
202
Invesco S&P MidCap Low Volatility ETF
XMLV
$748M
$219K 0.05%
6,444
+1,704
+36% +$58.2K
YUM icon
203
Yum! Brands
YUM
$41.1B
$215K 0.04%
4,110
– –
AMZN icon
204
Amazon
AMZN
$2.96T
$210K 0.04%
6,220
+1,780
+40% +$56.1K
JCI icon
205
Johnson Controls International
JCI
$92.2B
$208K 0.04%
5,036
+149
+3% +$6.74K
NEE icon
206
NextEra Energy
NEE
$177B
$205K 0.04%
7,900
+520
+7% +$13.2K
TEVA icon
207
Teva Pharmaceuticals
TEVA
$41.2B
$205K 0.04%
3,125
– –
TJX icon
208
TJX Companies
TJX
$178B
$202K 0.04%
5,718
+500
+10% +$17.8K
F icon
209
Ford
F
$55.7B
$197K 0.04%
14,018
+38
+0.3% +$550
EOG icon
210
EOG Resources
EOG
$70.7B
$195K 0.04%
2,764
+2,269
+458% +$184K
USB icon
211
US Bancorp
USB
$99.6B
$193K 0.04%
4,545
+1,188
+35% +$50.8K
UNH icon
212
UnitedHealth
UNH
$370B
$191K 0.04%
1,631
+300
+23% +$35.1K
ABBV icon
213
AbbVie
ABBV
$435B
$190K 0.04%
3,214
+39
+1% +$2.25K
RF icon
214
Regions Financial
RF
$26.8B
$190K 0.04%
19,816
+7,400
+60% +$71K
VOT icon
215
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.9B
$189K 0.04%
1,905
+1,544
+428% +$156K
BSJG
216
DELISTED
Guggenheim BulletShares 2016 High Yield Corporate Bond ETF
BSJG
$189K 0.04%
7,340
+970
+15% +$25.2K
HSIC icon
217
Henry Schein
HSIC
$9.82B
$187K 0.04%
3,024
+102
+3% +$6.07K
SGOL icon
218
abrdn Physical Gold Shares ETF
SGOL
$7.41B
$181K 0.04%
17,500
– –
MCK icon
219
McKesson
MCK
$101B
$178K 0.04%
903
+20
+2% +$3.78K
PHYS icon
220
Sprott Physical Gold
PHYS
$15.7B
$178K 0.04%
20,500
– –
FEZ icon
221
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.55B
$175K 0.04%
5,100
-600
-11% -$21.4K
IYW icon
222
iShares US Technology ETF
IYW
$25.2B
$175K 0.04%
6,576
+500
+8% +$13.5K
NSC icon
223
Norfolk Southern
NSC
$75.1B
$174K 0.04%
2,063
+243
+13% +$20.8K
ADBE icon
224
Adobe
ADBE
$105B
$172K 0.04%
1,839
-3
-0.2% -$270
GPC icon
225
Genuine Parts
GPC
$18.7B
$166K 0.03%
1,940
+55
+3% +$4.81K
7 8
9
10 11

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RFA
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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.