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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
+3.88%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$701M
AUM Growth
+$34.8M
Cap. Flow
+$12.6M
Cap. Flow %
1.79%
Top 10 Hldgs %
45.65%
Holding
1,296
New
50
Increased
228
Reduced
255
Closed
65

Top Buys

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$5.71M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$4.33M
3
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$4M
4
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$3.71M
5
IVV icon
iShares Core S&P 500 ETF
IVV
+$1.58M

Top Sells

Rank Stock Value
1
PSTB
Park Sterling Corp.
PSTB
+$2.87M
2
DBEU icon
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
+$2.52M
3
PNY
PIEDMONT NATURAL GAS CO INC(NC
PNY
+$2.34M
4
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$1.12M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$842K

Sector Composition

Rank Sector Weight
1 Financials 9.48%
2 Technology 5.84%
3 Energy 4.14%
4 Healthcare 3.95%
5 Industrials 3.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BHI
201
DELISTED
Baker Hughes
BHI
$286K 0.04%
4,409
-67
-1% -$3.98K
RF icon
202
Regions Financial
RF
$26.9B
$285K 0.04%
19,859
-326
-2% -$4.03K
IWD icon
203
iShares Russell 1000 Value ETF
IWD
$83.6B
$284K 0.04%
2,541
+91
+4% +$9.84K
KKR icon
204
KKR & Co
KKR
$92.8B
$284K 0.04%
18,498
+3
+0% +$45
AXP icon
205
American Express
AXP
$230B
$278K 0.04%
3,755
+228
+6% +$15.8K
ABBV icon
206
AbbVie
ABBV
$432B
$275K 0.04%
4,404
+246
+6% +$15K
DLTR icon
207
Dollar Tree
DLTR
$25.2B
$275K 0.04%
3,573
-6
-0.2% -$483
CAT icon
208
Caterpillar
CAT
$389B
$266K 0.04%
2,879
– –
VOT icon
209
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.9B
$265K 0.04%
2,509
+164
+7% +$17.2K
AMT icon
210
American Tower
AMT
$80.4B
$264K 0.04%
2,504
– –
HDLS
211
DELISTED
WisdomTree International Hedged SmallCap Dividend Fund
HDLS
$263K 0.04%
10,743
+2,213
+26% +$53.2K
PCY icon
212
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.4B
$261K 0.04%
9,268
+2,866
+45% +$83K
PHYS icon
213
Sprott Physical Gold
PHYS
$15.7B
$261K 0.04%
27,900
+7,400
+36% +$74.2K
SBUX icon
214
Starbucks
SBUX
$121B
$261K 0.04%
4,705
-518
-10% -$28.7K
ZBH icon
215
Zimmer Biomet
ZBH
$18.3B
$260K 0.04%
2,598
– –
RSP icon
216
Invesco S&P 500 Equal Weight ETF
RSP
$99.5B
$255K 0.04%
2,951
-127
-4% -$10.7K
EOG icon
217
EOG Resources
EOG
$70.9B
$249K 0.04%
2,464
– –
WT icon
218
WisdomTree
WT
$3.25B
$248K 0.04%
22,350
-38,342
-63% -$400K
APC
219
DELISTED
Anadarko Petroleum
APC
$248K 0.04%
3,568
-1,785
-33% -$116K
LUMN icon
220
Lumen
LUMN
$6.49B
$247K 0.04%
10,390
-100
-1% -$2.54K
UNH icon
221
UnitedHealth
UNH
$372B
$247K 0.04%
1,548
-310
-17% -$46.3K
GD icon
222
General Dynamics
GD
$106B
$239K 0.03%
1,387
+60
+5% +$9.82K
STT icon
223
State Street
STT
$51B
$239K 0.03%
3,077
+77
+3% +$5.8K
VO icon
224
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$236K 0.03%
7,320
+380
+5% +$12.3K
O icon
225
Realty Income
O
$59.3B
$234K 0.03%
4,205
+23
+0.5% +$1.29K
7 8
9
10 11

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Carroll Financial Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Carroll Financial Associates held 1,296 positions worth $701M, up 5.2% from $666M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

Carroll Financial Associates's Q4 2016 filing shows 50 new, 228 increased, 255 reduced and 65 closed positions. Its largest new stake was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K. The largest sale was Park Sterling Corp., an estimated $2.87M.

By sector, the portfolio is most concentrated in Financials at 9.5% of assets, up from 8.9% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q4 2016 buy was VelocityShares VIX Short Term ETN: 3,616 shares worth $779K.
  • Carroll Financial Associates added most to WisdomTree Trust WisdomTree US Quality Dividend Growth Fund in Q4 2016, an estimated $5.71M increase.
  • Carroll Financial Associates's biggest Q4 2016 reduction was Park Sterling Corp., cutting an estimated $2.87M.
  • Carroll Financial Associates fully exited PIEDMONT NATURAL GAS CO INC(NC in Q4 2016, selling an estimated $2.34M.
  • Carroll Financial Associates's ten largest holdings make up 46% of its $701M portfolio in Q4 2016.
  • Carroll Financial Associates opened 50 new positions and closed 65 in Q4 2016.
  • Carroll Financial Associates's portfolio value rose 5.2% quarter-over-quarter to $701M.

Based on Carroll Financial Associates's 13F filing for Q4 2016, filed 11 Jan 2017.