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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
SSB icon
201
SouthState Bank Corp
SSB
$10.5B
$236K 0.04%
3,685
– –
AMZN icon
202
Amazon
AMZN
$2.96T
$235K 0.04%
7,940
+1,720
+28% +$48.8K
PRFZ icon
203
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.89B
$235K 0.04%
12,475
+450
+4% +$7.91K
BHI
204
DELISTED
Baker Hughes
BHI
$235K 0.04%
5,376
-100
-2% -$4.32K
YUM icon
205
Yum! Brands
YUM
$41.1B
$231K 0.04%
3,938
-172
-4% -$9.03K
AGG icon
206
iShares Core US Aggregate Bond ETF
AGG
$138B
$228K 0.04%
2,063
+1,223
+146% +$134K
AXP icon
207
American Express
AXP
$230B
$225K 0.04%
3,666
-5
-0.1% -$291
ABBV icon
208
AbbVie
ABBV
$435B
$224K 0.04%
3,925
+711
+22% +$39.6K
JCI icon
209
Johnson Controls International
JCI
$92.2B
$224K 0.04%
5,513
+477
+9% +$18.2K
ENFR icon
210
Alerian Energy Infrastructure ETF
ENFR
$506M
$223K 0.04%
12,221
+3,592
+42% +$59.5K
NWL icon
211
Newell Brands
NWL
$2.56B
$221K 0.04%
5,000
– –
BP icon
212
BP
BP
$107B
$217K 0.04%
8,552
+4,033
+89% +$102K
TJX icon
213
TJX Companies
TJX
$178B
$217K 0.04%
5,544
-174
-3% -$6.32K
BCS.PRD.CL
214
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$217K 0.04%
8,300
– –
RJF icon
215
Raymond James Financial
RJF
$34B
$214K 0.04%
6,750
– –
VOT icon
216
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.9B
$213K 0.04%
2,128
+223
+12% +$20.8K
F icon
217
Ford
F
$55.7B
$211K 0.04%
15,678
+1,660
+12% +$20.9K
CAT icon
218
Caterpillar
CAT
$387B
$210K 0.04%
2,745
+953
+53% +$63.9K
SGOL icon
219
abrdn Physical Gold Shares ETF
SGOL
$7.41B
$210K 0.04%
17,500
– –
VO icon
220
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$209K 0.04%
6,920
+5,584
+418% +$158K
PHYS icon
221
Sprott Physical Gold
PHYS
$15.7B
$207K 0.04%
20,500
– –
O icon
222
Realty Income
O
$59.1B
$205K 0.04%
3,398
+927
+38% +$51.6K
HSIC icon
223
Henry Schein
HSIC
$9.82B
$204K 0.04%
3,024
– –
C icon
224
Citigroup
C
$226B
$200K 0.04%
4,804
-377
-7% -$15.8K
UNH icon
225
UnitedHealth
UNH
$370B
$199K 0.04%
1,550
-81
-5% -$9.58K
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 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.