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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
+2.69%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$666M
AUM Growth
+$68.1M
(+11%)
Cap. Flow
+$54.3M
Cap. Flow
% of AUM
8.15%
Top 10 Holdings %
Top 10 Hldgs %
45.11%
Holding
1,312
New
70
Increased
327
Reduced
188
Closed
67
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
KLDW
Knowledge Leaders Developed World ETF
KLDW
|
+$16.4M |
| 2 |
Invesco FTSE RAFI US 1000 ETF
PRF
|
+$11.6M |
| 3 |
iShares MSCI USA Momentum Factor ETF
MTUM
|
+$3.36M |
| 4 |
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
|
+$2.45M |
| 5 |
ExxonMobil
XOM
|
+$2.01M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
|
+$2.12M |
| 2 |
FMLP
UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN
FMLP
|
+$945K |
| 3 |
WisdomTree
WT
|
+$765K |
| 4 |
BDCL
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
|
+$535K |
| 5 |
Global X MLP & Energy Infrastructure ETF
MLPX
|
+$516K |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Financials | 8.9% |
| 2 | Technology | 6.08% |
| 3 | Energy | 4.49% |
| 4 | Healthcare | 4.43% |
| 5 | Consumer Staples | 4.15% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
1
Invesco FTSE RAFI US 1000 ETF
PRF
$9.73B
| $91.8M | 13.79% |
4,906,365
+623,495
| +15% | +$11.6M |
|
2
iShares MSCI USA Min Vol Factor ETF
USMV
$23.2B
| $78.4M | 11.78% |
1,726,369
+39,122
| +2% | +$1.81M |
|
|
KLDW
3
DELISTED
Knowledge Leaders Developed World ETF
KLDW
| $25.7M | 3.86% |
937,203
+612,890
| +189% | +$16.4M |
|
|
4
iShares MSCI USA Momentum Factor ETF
MTUM
$25.5B
| $23.9M | 3.59% |
308,728
+43,272
| +16% | +$3.36M |
|
|
5
ExxonMobil
XOM
$651B
| $17.6M | 2.64% |
201,793
+22,633
| +13% | +$2.01M |
|
6
Microsoft
MSFT
$2.84T
| $13.6M | 2.04% |
235,414
+5,420
| +2% | +$306K |
|
7
Apple
AAPL
$4.89T
| $13.5M | 2.02% |
476,744
+10,800
| +2% | +$286K |
|
8
GE Aerospace
GE
$367B
| $12M | 1.81% |
84,778
+8,860
| +12% | +$1.32M |
|
9
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
$15.2B
| $12M | 1.8% |
274,840
+6,455
| +2% | +$282K |
|
|
10
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
$9.13B
| $11.9M | 1.79% |
451,249
+94,563
| +27% | +$2.45M |
|
|
11
Global X MLP & Energy Infrastructure ETF
MLPX
$3.68B
| $11.6M | 1.75% |
255,060
-12,024
| -5% | -$516K |
|
12
Johnson & Johnson
JNJ
$635B
| $10.9M | 1.63% |
92,127
+1,395
| +2% | +$169K |
|
13
State Street SPDR S&P 500 ETF Trust
SPY
$778B
| $10.6M | 1.59% |
49,054
+1,353
| +3% | +$292K |
|
14
Berkshire Hathaway Class B
BRK.B
$1.07T
| $10.3M | 1.54% |
70,961
+1,131
| +2% | +$165K |
|
|
SCIU
15
DELISTED
Global X Scientific Beta US ETF
SCIU
| $10.1M | 1.52% |
387,628
+57,187
| +17% | +$1.49M |
|
16
Vanguard Dividend Appreciation ETF
VIG
$111B
| $9.98M | 1.5% |
118,963
+2,399
| +2% | +$203K |
|
|
PSTB
17
DELISTED
Park Sterling Corp.
PSTB
| $7.9M | 1.19% |
973,225
+14,518
| +2% | +$115K |
|
18
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
$16.6B
| $7.14M | 1.07% |
221,239
+42,442
| +24% | +$1.38M |
|
19
Duke Energy
DUK
$102B
| $6.94M | 1.04% |
86,764
+6,054
| +8% | +$501K |
|
20
DuPont de Nemours
DD
$18.6B
| $6.63M | 1% |
50,538
-582
| -1% | -$77.6K |
|
21
Truist Financial
TFC
$63.2B
| $6.15M | 0.92% |
163,147
-5
| -0% | -$186 |
|
22
JPMorgan Chase
JPM
$939B
| $5.86M | 0.88% |
87,955
+425
| +0.5% | +$27.7K |
|
23
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
$227M
| $5.67M | 0.85% |
230,297
+1,433
| +0.6% | +$34.2K |
|
24
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
$349M
| $5.29M | 0.79% |
189,971
+1,142
| +0.6% | +$30.9K |
|
25
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
$2.83B
| $5.06M | 0.76% |
137,774
+19,217
| +16% | +$692K |
|
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Carroll Financial Associates's Q3 2016 Portfolio in Review
As of Q3 2016, Carroll Financial Associates held 1,312 positions worth $666M, up 11% from $598M the previous quarter. Its ten largest holdings account for 45% of the portfolio.
Carroll Financial Associates deployed $54.3M of net new capital in Q3 2016, opening 70 new positions and adding to 327 existing holdings. Its largest new stake was iShares Russell 1000 ETF: 1,252 shares worth $150K.
By sector, the portfolio is most concentrated in Financials at 8.9% of assets, down from 9.3% a quarter earlier, followed by Technology and Energy.
On the sell side, the largest reduction was Xtrackers MSCI Europe Hedged Equity ETF, an estimated $2.12M trimmed.
- Carroll Financial Associates's largest Q3 2016 buy was iShares Russell 1000 ETF: 1,252 shares worth $150K.
- Carroll Financial Associates added most to Knowledge Leaders Developed World ETF in Q3 2016, an estimated $16.4M increase.
- Carroll Financial Associates's biggest Q3 2016 reduction was Xtrackers MSCI Europe Hedged Equity ETF, cutting an estimated $2.12M.
- Carroll Financial Associates fully exited UBS AG LONDON BRH ETRACS WELLS FARGO MLP EX-ENERGY ETN in Q3 2016, selling an estimated $945K.
- Carroll Financial Associates's ten largest holdings make up 45% of its $666M portfolio in Q3 2016.
- Carroll Financial Associates opened 70 new positions and closed 67 in Q3 2016.
- Carroll Financial Associates's portfolio value rose 11% quarter-over-quarter to $666M.
Based on Carroll Financial Associates's 13F filing for Q3 2016, filed 11 Oct 2016.