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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
+3.28%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$598M
AUM Growth
+$59.6M
Cap. Flow
+$43.1M
Cap. Flow %
7.2%
Top 10 Hldgs %
43.55%
Holding
1,314
New
74
Increased
273
Reduced
187
Closed
72

Top Buys

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$11.8M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$11.4M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.35M
4
PDN icon
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
+$5M
5
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$2.91M

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.79M
2
GE icon
GE Aerospace
GE
+$1.61M
3
KMI icon
Kinder Morgan
KMI
+$1.27M
4
PACW
PacWest Bancorp
PACW
+$702K
5
BDCS
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
+$633K

Sector Composition

Rank Sector Weight
1 Financials 9.27%
2 Technology 5.91%
3 Energy 5.03%
4 Healthcare 4.76%
5 Consumer Staples 4.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TJX icon
201
TJX Companies
TJX
$174B
$262K 0.04%
6,786
+1,242
+22% +$47.4K
ACWI icon
202
iShares MSCI ACWI ETF
ACWI
$33.4B
$261K 0.04%
4,648
– –
SEP
203
DELISTED
Spectra Engy Parters Lp
SEP
$261K 0.04%
5,538
– –
BP icon
204
BP
BP
$109B
$259K 0.04%
8,680
+128
+1% +$3.45K
AGG icon
205
iShares Core US Aggregate Bond ETF
AGG
$138B
$257K 0.04%
2,287
+224
+11% +$24.9K
NWL icon
206
Newell Brands
NWL
$2.71B
$250K 0.04%
5,160
+160
+3% +$7.48K
SSB icon
207
SouthState Bank Corp
SSB
$10.5B
$250K 0.04%
3,685
– –
RSP icon
208
Invesco S&P 500 Equal Weight ETF
RSP
$99.5B
$247K 0.04%
3,078
– –
UNH icon
209
UnitedHealth
UNH
$370B
$247K 0.04%
1,750
+200
+13% +$26.7K
ABBV icon
210
AbbVie
ABBV
$433B
$242K 0.04%
3,911
-14
-0.4% -$853
HSY icon
211
Hershey
HSY
$35.7B
$239K 0.04%
2,106
+50
+2% +$4.68K
YUM icon
212
Yum! Brands
YUM
$40.6B
$234K 0.04%
3,939
+1
+0% +$59
VOT icon
213
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$20B
$231K 0.04%
2,271
+143
+7% +$14.4K
BKLN icon
214
Invesco Senior Loan ETF
BKLN
$6.79B
$229K 0.04%
10,012
+4,614
+85% +$106K
CEFL
215
DELISTED
ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN
CEFL
$228K 0.04%
13,590
-9,910
-42% -$163K
PHYS icon
216
Sprott Physical Gold
PHYS
$14.6B
$225K 0.04%
20,500
– –
SGOL icon
217
abrdn Physical Gold Shares ETF
SGOL
$6.96B
$225K 0.04%
17,500
– –
CAT icon
218
Caterpillar
CAT
$404B
$224K 0.04%
2,967
+222
+8% +$16.6K
AXP icon
219
American Express
AXP
$233B
$221K 0.04%
3,652
-14
-0.4% -$887
RJF icon
220
Raymond James Financial
RJF
$34.1B
$221K 0.04%
6,750
– –
SIVR icon
221
abrdn Physical Silver Shares ETF
SIVR
$4.13B
$220K 0.04%
12,000
– –
ESRX
222
DELISTED
Express Scripts Holding Company
ESRX
$217K 0.04%
2,872
– –
VO icon
223
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$214K 0.04%
6,940
+20
+0.3% +$611
BCS.PRD.CL
224
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$214K 0.04%
8,300
– –
EOG icon
225
EOG Resources
EOG
$77.6B
$213K 0.04%
2,560
– –
7 8
9
10 11

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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
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
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CC
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RM
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Carroll Financial Associates's Q2 2016 Portfolio in Review

As of Q2 2016, Carroll Financial Associates held 1,314 positions worth $598M, up 11% from $538M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Carroll Financial Associates deployed $43.1M of net new capital in Q2 2016, opening 74 new positions and adding to 273 existing holdings. Its largest new stake was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.

By sector, the portfolio is most concentrated in Financials at 9.3% of assets, down from 9.8% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was iShares MSCI USA Min Vol Factor ETF, an estimated $5.79M trimmed.

  • Carroll Financial Associates's largest Q2 2016 buy was Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF: 188,829 shares worth $4.87M.
  • Carroll Financial Associates added most to iShares MSCI USA Momentum Factor ETF in Q2 2016, an estimated $11.8M increase.
  • Carroll Financial Associates's biggest Q2 2016 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $5.79M.
  • Carroll Financial Associates fully exited UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com in Q2 2016, selling an estimated $633K.
  • Carroll Financial Associates's ten largest holdings make up 44% of its $598M portfolio in Q2 2016.
  • Carroll Financial Associates opened 74 new positions and closed 72 in Q2 2016.
  • Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $598M.

Based on Carroll Financial Associates's 13F filing for Q2 2016, filed 18 Jul 2016.