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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
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$324M
AUM Growth
-$33.2M
(-9.3%)
Cap. Flow
-$39.8M
Cap. Flow
% of AUM
-12.28%
Top 10 Holdings %
Top 10 Hldgs %
40.98%
Holding
1,053
New
82
Increased
100
Reduced
249
Closed
124
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
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 |
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 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$8.83M |
| 2 |
Invesco FTSE RAFI US 1000 ETF
PRF
|
+$4.43M |
| 3 |
iShares Global 100 ETF
IOO
|
+$3.86M |
| 4 |
iShares MSCI USA Min Vol Factor ETF
USMV
|
+$2.88M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
|
1
iShares MSCI USA Min Vol Factor ETF
USMV
$23.2B
| $33.9M | 10.46% |
851,650
-76,702
| -8% | -$2.88M |
|
|
2
Invesco FTSE RAFI US 1000 ETF
PRF
$9.73B
| $15.3M | 4.73% |
844,620
-249,285
| -23% | -$4.43M |
|
3
ExxonMobil
XOM
$651B
| $15.2M | 4.7% |
157,996
-14,998
| -9% | -$1.49M |
|
|
4
iShares MSCI USA Momentum Factor ETF
MTUM
$25.5B
| $12.1M | 3.74% |
180,865
+9,595
| +6% | +$617K |
|
5
Microsoft
MSFT
$2.84T
| $11.1M | 3.43% |
227,602
-23,436
| -9% | -$1.05M |
|
6
Apple
AAPL
$4.89T
| $10.3M | 3.18% |
376,232
-49,988
| -12% | -$1.23M |
|
7
Johnson & Johnson
JNJ
$635B
| $9.3M | 2.87% |
85,373
-15,359
| -15% | -$1.59M |
|
|
AMJ
8
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
| $9.13M | 2.81% |
180,544
-12,262
| -6% | -$643K |
|
9
Berkshire Hathaway Class B
BRK.B
$1.07T
| $9M | 2.78% |
62,098
-7,530
| -11% | -$1M |
|
|
10
Invesco S&P 500 Downside Hedged ETF
PHDG
$73.2M
| $7.45M | 2.3% |
+251,160
| New | +$7.19M |
|
11
GE Aerospace
GE
$367B
| $7.26M | 2.24% |
57,464
-3,165
| -5% | -$394K |
|
12
DuPont de Nemours
DD
$18.6B
| $6.96M | 2.15% |
55,530
-3,608
| -6% | -$481K |
|
13
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
$2.83B
| $6.8M | 2.1% |
164,596
-857
| -0.5% | -$37.9K |
|
|
SE
14
DELISTED
Spectra Energy Corp Wi
SE
| $6.36M | 1.96% |
161,818
-28,878
| -15% | -$1.19M |
|
|
HTS
15
DELISTED
HATTERAS FINANCIAL CORP
HTS
| $5.81M | 1.79% |
306,250
+700
| +0.2% | +$13.6K |
|
16
Vanguard Dividend Appreciation ETF
VIG
$111B
| $5.64M | 1.74% |
70,505
-5,620
| -7% | -$436K |
|
17
JPMorgan Chase
JPM
$939B
| $5.59M | 1.72% |
91,138
-8,635
| -9% | -$505K |
|
|
PSTB
18
DELISTED
Park Sterling Corp.
PSTB
| $5.22M | 1.61% |
691,702
-57,768
| -8% | -$392K |
|
19
Coca-Cola
KO
$354B
| $3.86M | 1.19% |
90,726
+2,794
| +3% | +$116K |
|
20
Lowe's Companies
LOW
$116B
| $3.2M | 0.99% |
55,152
-5,156
| -9% | -$261K |
|
21
Oaktree Specialty Lending
OCSL
$1.03B
| $3.15M | 0.97% |
118,533
+7,666
| +7% | +$224K |
|
22
Pfizer
PFE
$140B
| $3.1M | 0.96% |
107,813
-10,114
| -9% | -$284K |
|
|
BBRC
23
DELISTED
Columbia Beyond BRICs ETF
BBRC
| $2.9M | 0.9% |
133,675
+53,125
| +66% | +$1.21M |
|
|
CSG
24
DELISTED
CHAMBERS STR PPTYS COM
CSG
| $2.77M | 0.85% |
338,521
+4,050
| +1% | +$31.7K |
|
25
Applied Materials
AMAT
$426B
| $2.59M | 0.8% |
115,027
-14,000
| -11% | -$310K |
|
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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.