Carroll Financial Associates, Inc. current holdings: USA ETF
Carroll Financial Associates, Inc. reported $0.40 billion in exchange-traded fund shares (known by the fund name on the filing) (listed in the US), 349 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are POWERSHARES FTSE RAFI US 1000 PORTFOLIO, USMV, GAVEKAL KNOWLEDGE LEADERS DEVELOPED WORLD ETF.
- GAVEKAL KNOWLEDGE LEADERS EMERGING MARKETS ETF: Country of operation —; Class ETF; Shares 1,000; Value $25,000.
- BOND: Country of operation —; Class ETF; Shares 225; Value $24,000.
- POWERSHARES FINANCIAL PREFERRED PORTFOLIO: Country of operation —; Class ETF; Shares 1,290; Value $24,000.
- FDL: Country of operation —; Class ETF; Shares 910; Value $24,000.
Form 13F-HR as filed (SEC CIK 1567784): quarter ended 2016-09-30, filed 2016-10-11. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.
Performance is each holding's price change from its close on the 2016-09-30 quarter end to its latest retained close (2026-09-29, or the date shown for a stock that stopped trading). Price only; dividends are not included. A stock that split in the period is restated by the split ratio in its own Form 8-K; a dash marks a holding with no retained closes.
| Stock | Country of operation | Class | Shares | Value | Quarter end | Filed | Performance |
|---|
GAVEKAL KNOWLEDGE LEADERS EMERGING MARKETS ETF
CUSIP 30151E509 | | ETF | 1,000 | $25,000 | 2016-09-30 | 2016-10-11 | |
|---|
BOND
PIMCO TOTAL RETURN ACTIVE EXCHANGE-TRADED FUND | | ETF | 225 | $24,000 | 2016-09-30 | 2016-10-11 | |
|---|
POWERSHARES FINANCIAL PREFERRED PORTFOLIO
CUSIP 73935X229 | | ETF | 1,290 | $24,000 | 2016-09-30 | 2016-10-11 | |
|---|
FDL
FIRST TRUST MORNINGSTAR DIVIDEND LEADERS INDEX FUND | | ETF | 910 | $24,000 | 2016-09-30 | 2016-10-11 | |
|---|
MIN
MFS INTER INCOME TR SH BEN INT | | CEF | 5,500 | $24,000 | 2016-09-30 | 2016-10-11 | |
|---|
EPP
ISHARES MSCI PACIFIC EX JAPAN ETF | | ETF | 545 | $23,000 | 2016-09-30 | 2016-10-11 | |
|---|
NVG
NUVEEN ENHANCED AMT FREE MUNI COM | | CEF | 1,434 | $23,000 | 2016-09-30 | 2016-10-11 | |
|---|
SHV
ISHARES SHORT TREASURY BOND ETF | | ETF | 200 | $22,000 | 2016-09-30 | 2016-10-11 | |
|---|
POWERSHARES CEF INCOME COMPOSITE PORTFOLIO
CUSIP 73936Q843 | | ETF | 1,000 | $22,000 | 2016-09-30 | 2016-10-11 | |
|---|
NUV
NUVEEN MUN VALUE FD INC COM | | CEF | 2,000 | $21,000 | 2016-09-30 | 2016-10-11 | |
|---|
IYT
ISHARES TRANSPORTATION AVERAGE ETF | | ETF | 150 | $21,000 | 2016-09-30 | 2016-10-11 | |
|---|
KXI
ISHARES GLOBAL CONSUMER STAPLES ETF | | ETF | 220 | $21,000 | 2016-09-30 | 2016-10-11 | |
|---|
RNP
COHEN & STEERS REIT & PFD INCM COM | | CEF | 1,000 | $20,000 | 2016-09-30 | 2016-10-11 | |
|---|
UYG
PROSHARES TR ULTRA FNCLS NEW | | ETF | 280 | $20,000 | 2016-09-30 | 2016-10-11 | |
|---|
DNP
DNP SELECT INCOME FD COM | | CEF | 2,000 | $20,000 | 2016-09-30 | 2016-10-11 | |
|---|
KYN
KAYNE ANDERSON MLP INVT CO COM | | CEF | 1,000 | $20,000 | 2016-09-30 | 2016-10-11 | |
|---|
IWV
ISHARES RUSSELL 3000 ETF | | ETF | 161 | $20,000 | 2016-09-30 | 2016-10-11 | |
|---|
FTA
FIRST TRUST LARGE CAP VALUE OPPORTUNITIES ALPHADEX FUND | | ETF | 490 | $20,000 | 2016-09-30 | 2016-10-11 | |
|---|
BARCLAYS ETN+ FI ENHANCED EUROPE 50 ETN
CUSIP 06742C129 | | ETF | 212 | $19,000 | 2016-09-30 | 2016-10-11 | |
|---|
XLB
MATERIALS SELECT SECTOR SPDR FUND | | ETF | 400 | $19,000 | 2016-09-30 | 2016-10-11 | |
|---|
MSD
MORGAN STANLEY EMER MKTS DEBT COM | | CEF | 2,000 | $19,000 | 2016-09-30 | 2016-10-11 | |
|---|
MMT
MFS MULTIMARKET INCOME TR SH BEN INT | | CEF | 3,250 | $19,000 | 2016-09-30 | 2016-10-11 | |
|---|
POWERSHARES S&P 500 DOWNSIDE HEDGED PORTFOLIO
CUSIP 73935B805 | | ETF | 835 | $19,000 | 2016-09-30 | 2016-10-11 | |
|---|
ETJ
EATON VANCE RISK MNGD DIV EQTY COM | | CEF | 2,100 | $19,000 | 2016-09-30 | 2016-10-11 | |
|---|
BARCLAYS ETN+ FI ENHANCED GLOBAL HIGH YIELD ETN
CUSIP 06742C152 | | ETF | 139 | $18,000 | 2016-09-30 | 2016-10-11 | |
|---|
EHI
WESTERN ASSET GLB HI INCOME FD COM | | CEF | 1,820 | $18,000 | 2016-09-30 | 2016-10-11 | |
|---|
FV
FIRST TRUST DORSEY WRIGHT FOCUS 5 ETF | | ETF | 808 | $18,000 | 2016-09-30 | 2016-10-11 | |
|---|
VHT
VANGUARD HEALTH CARE INDEX FUND | | ETF | 136 | $18,000 | 2016-09-30 | 2016-10-11 | |
|---|
GUGGENHEIM S&P GLOBAL WATER INDEX ETF
CUSIP 18383Q507 | | ETF | 589 | $18,000 | 2016-09-30 | 2016-10-11 | |
|---|
ISHARES MSCI UNITED KINGDOM ETF
CUSIP 46434V548 | | ETF | 1,169 | $18,000 | 2016-09-30 | 2016-10-11 | |
|---|
SPDR BARCLAYS HIGH YIELD BOND ETF
CUSIP 78464A417 | | ETF | 492 | $18,000 | 2016-09-30 | 2016-10-11 | |
|---|
QQEW
FIRST TRUST NASDAQ-100 EQUAL WEIGHTED INDEX FUND | | ETF | 400 | $18,000 | 2016-09-30 | 2016-10-11 | |
|---|
GUGGENHEIM BULLETSHARES 2019 HIGH YIELD CORPORATE BOND ETF
CUSIP 18383M373 | | ETF | 725 | $17,000 | 2016-09-30 | 2016-10-11 | |
|---|
DEM
WISDOMTREE EMERGING MARKETS HIGH DIVIDEND FUND | | ETF | 457 | $17,000 | 2016-09-30 | 2016-10-11 | |
|---|
ICF
ISHARES COHEN & STEERS REIT ETF | | ETF | 163 | $17,000 | 2016-09-30 | 2016-10-11 | |
|---|
GUGGENHEIM S&P 500 PURE GROWTH ETF
CUSIP 78355W403 | | ETF | 195 | $16,000 | 2016-09-30 | 2016-10-11 | |
|---|
PCN
PIMCO CORPORATE INCOME STRATEG COM | | CEF | 1,080 | $16,000 | 2016-09-30 | 2016-10-11 | |
|---|
FFC
FLAHERTY&CRMN PFD SEC INCOM FD COM | | CEF | 800 | $16,000 | 2016-09-30 | 2016-10-11 | |
|---|
ETG
EATON VANCE TX ADV GLBL DIV FD COM | | CEF | 1,080 | $16,000 | 2016-09-30 | 2016-10-11 | |
|---|
FBT
FIRST TRUST NYSE ARCA BIOTECHNOLOGY INDEX FUND | | ETF | 161 | $16,000 | 2016-09-30 | 2016-10-11 | |
|---|
PEO
ADAM NAT RES FD INC COM | | CEF | 842 | $16,000 | 2016-09-30 | 2016-10-11 | |
|---|
HYZD
WISDOMTREE BOFA MERRILL LYNCH HIGH YIELD BOND ZERO DURATION FUND | | ETF | 685 | $16,000 | 2016-09-30 | 2016-10-11 | |
|---|
KBE
SPDR S&P BANK ETF | | ETF | 450 | $15,000 | 2016-09-30 | 2016-10-11 | |
|---|
XNTK
SPDR MORGAN STANLEY TECHNOLOGY ETF | | ETF | 258 | $15,000 | 2016-09-30 | 2016-10-11 | |
|---|
VTWG
VANGUARD RUSSELL 2000 GROWTH ETF | | ETF | 140 | $15,000 | 2016-09-30 | 2016-10-11 | |
|---|
SLX
VANECK VECTORS STEEL ETF | | ETF | 500 | $15,000 | 2016-09-30 | 2016-10-11 | |
|---|
JANUS VELOCITY VOLATILITY HEDGED LARGE CAP ETF
CUSIP 47103U803 | | ETF | 500 | $15,000 | 2016-09-30 | 2016-10-11 | |
|---|
POWERSHARES DWA DEVELOPED MKTS MOM ETF
CUSIP 73936Q108 | | ETF | 654 | $15,000 | 2016-09-30 | 2016-10-11 | |
|---|
XLP
CONSUMER STAPLES SELECT SECTOR SPDR ETF | | ETF | 291 | $15,000 | 2016-09-30 | 2016-10-11 | |
|---|
CHY
CALAMOS CONV & HIGH INCOME FD COM SHS | | CEF | 1,300 | $14,000 | 2016-09-30 | 2016-10-11 | |
|---|
VGK
VANGUARD FTSE EUROPE ETF | | ETF | 300 | $14,000 | 2016-09-30 | 2016-10-11 | |
|---|
HEQ
JOHN HANCOCK HDG EQ & INC FD COM | | CEF | 884 | $14,000 | 2016-09-30 | 2016-10-11 | |
|---|
IYR
ISHARES U.S. REAL ESTATE ETF | | ETF | 178 | $14,000 | 2016-09-30 | 2016-10-11 | |
|---|
IEI
ISHARES 3-7 YEAR TREASURY BOND ETF | | ETF | 107 | $13,000 | 2016-09-30 | 2016-10-11 | |
|---|
VBR
VANGUARD SMALL-CAP VALUE INDEX FUND | | ETF | 120 | $13,000 | 2016-09-30 | 2016-10-11 | |
|---|
ISHARES MSCI JAPAN ETF
CUSIP 464286848 | | ETF | 1,085 | $13,000 | 2016-09-30 | 2016-10-11 | |
|---|
EVV
EATON VANCE LTD DUR INCOME FD COM | | CEF | 1,016 | $13,000 | 2016-09-30 | 2016-10-11 | |
|---|
EWC
ISHARES MSCI CANADA ETF | | ETF | 527 | $13,000 | 2016-09-30 | 2016-10-11 | |
|---|
SKYY
FIRST TRADE ISE CLOUD COMPUTING INDEX | | ETF | 379 | $12,000 | 2016-09-30 | 2016-10-11 | |
|---|
ECH
ISHARES MSCI CHILE CAPPED ETF | | ETF | 335 | $12,000 | 2016-09-30 | 2016-10-11 | |
|---|
NAD
NUVEEN QUALITY MUNCP INCOME FD COM | | CEF | 832 | $12,000 | 2016-09-30 | 2016-10-11 | |
|---|
CII
BLACKROCK ENH CAP & INC FD INC COM | | CEF | 806 | $11,000 | 2016-09-30 | 2016-10-11 | |
|---|
ALERIAN MLP ETF
CUSIP 00162Q866 | | ETF | 900 | $11,000 | 2016-09-30 | 2016-10-11 | |
|---|
BDJ
BLACKROCK ENHANCED EQT DIV TR COM | | CEF | 1,517 | $11,000 | 2016-09-30 | 2016-10-11 | |
|---|
PPH
VANECK VECTORS PHARMACEUTICAL ETF | | ETF | 200 | $11,000 | 2016-09-30 | 2016-10-11 | |
|---|
RVT
ROYCE VALUE TR INC COM | | CEF | 917 | $11,000 | 2016-09-30 | 2016-10-11 | |
|---|
GUGGENHEIM BULLETSHARES 2018 CORPORATE BOND ETF
CUSIP 18383M530 | | ETF | 520 | $11,000 | 2016-09-30 | 2016-10-11 | |
|---|
EMB
ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF | | ETF | 101 | $11,000 | 2016-09-30 | 2016-10-11 | |
|---|
GUGGENHEIM BULLETSHARES 2017 CORPORATE BOND ETF
CUSIP 18383M548 | | ETF | 485 | $10,000 | 2016-09-30 | 2016-10-11 | |
|---|
XLI
INDUSTRIAL SELECT SECTOR SPDR FUND | | ETF | 170 | $9,000 | 2016-09-30 | 2016-10-11 | |
|---|
SCZ
ISHARES MSCI EAFE SMALL-CAP ETF | | ETF | 172 | $9,000 | 2016-09-30 | 2016-10-11 | |
|---|
IYK
ISHARES U.S. CONSUMER GOODS ETF | | ETF | 74 | $8,000 | 2016-09-30 | 2016-10-11 | |
|---|
KRE
SPDR S&P REGIONAL BANKING ETF | | ETF | 200 | $8,000 | 2016-09-30 | 2016-10-11 | |
|---|
RWX
SPDR DOW JONES INTERNATIONAL REAL ESTATE ETF | | ETF | 201 | $8,000 | 2016-09-30 | 2016-10-11 | |
|---|
BGY
BLACKROCK INTL GRWTH & INC TR COM BENE INTER | | CEF | 1,399 | $8,000 | 2016-09-30 | 2016-10-11 | |
|---|
BBP
BIOSHARES BIOTECHNOLOGY PRODUCTS FUND | | ETF | 253 | $8,000 | 2016-09-30 | 2016-10-11 | |
|---|
EWA
ISHARES MSCI AUSTRALIA ETF | | ETF | 403 | $8,000 | 2016-09-30 | 2016-10-11 | |
|---|
JHI
HANCOCK JOHN INVS TR COM | | CEF | 514 | $8,000 | 2016-09-30 | 2016-10-11 | |
|---|
CSQ
CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT | | CEF | 733 | $7,000 | 2016-09-30 | 2016-10-11 | |
|---|
TFI
SPDR NUVEEN BARCLAYS MUNICIPAL BOND ETF | | ETF | 133 | $6,000 | 2016-09-30 | 2016-10-11 | |
|---|
MOO
VANECK VECTORS AGRIBUSINESS ETF | | ETF | 128 | $6,000 | 2016-09-30 | 2016-10-11 | |
|---|
BCX
BLACKROCK RES & COMM STRAT TR SHS | | CEF | 836 | $6,000 | 2016-09-30 | 2016-10-11 | |
|---|
POWERSHARES S&P INTERNATIONAL DEVELOPED LOW VOLATILITY PORTFOLIO
CUSIP 73937B688 | | ETF | 213 | $6,000 | 2016-09-30 | 2016-10-11 | |
|---|
MIDU
DIREXION DAILY MID CAP BULL 3X SHARES | | ETF | 257 | $6,000 | 2016-09-30 | 2016-10-11 | |
|---|
PFN
PIMCO INCOME STRATEGY FUND II COM | | CEF | 698 | $6,000 | 2016-09-30 | 2016-10-11 | |
|---|
NOBL
PROSHARES S&P 500 DIVIDEND ARISTOCRATS | | ETF | 93 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
WIW
WESTERN ASSET CLYM INFL OPP IN COM | | CEF | 451 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
VOX
VANGUARD TELECOMMUNICATION SERVICES INDEX FUND | | ETF | 53 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
MDY
SPDR S&P MIDCAP 400 ETF | | ETF | 20 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
GDX
VANECK VECTORS GOLD MINERS ETF | | ETF | 215 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
DBL
DOUBLELINE OPPORTUNISTIC CR FD COM | | CEF | 218 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
SDOG
ALPS SECTOR DIVIDEND DOGS ETF | | ETF | 139 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
TLT
ISHARES 20+ YEAR TREASURY BOND ETF | | ETF | 43 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
PUREFUNDS ISE CYBER SECURITY ETF
CUSIP 26924G201 | | ETF | 181 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
IWN
ISHARES RUSSELL 2000 VALUE ETF | | ETF | 53 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
OPPENHEIMER MID CAP REVENUE ETF
CUSIP 68386C203 | | ETF | 100 | $5,000 | 2016-09-30 | 2016-10-11 | |
|---|
GDXJ
VANECK VECTORS JUNIOR GOLD MINERS ETF | | ETF | 97 | $4,000 | 2016-09-30 | 2016-10-11 | |
|---|
VANECK VECTORS J.P. MORGAN EM LOCAL CURRENCY BOND ETF
CUSIP 92189F494 | | ETF | 231 | $4,000 | 2016-09-30 | 2016-10-11 | |
|---|
BLW
BLACKROCK LTD DURATION INC TR COM SHS | | CEF | 313 | $4,000 | 2016-09-30 | 2016-10-11 | |
|---|
EXG
EATON VANCE TAX MNGD GBL DV EQ COM | | CEF | 495 | $4,000 | 2016-09-30 | 2016-10-11 | |
|---|
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