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Calton & Associates Portfolio holdings

AUM $683M
1-Year Est. Return 28.95%
This Fund
S&P 500
This Quarter Est. Return
-0.29%
1 Year Est. Return
+28.95%
3 Year Est. Return
+73.86%
5 Year Est. Return
+79.5%
10 Year Est. Return
–
AUM
$457M
AUM Growth
-$69.5M
Cap. Flow
-$64.4M
Cap. Flow %
-14.09%
Top 10 Hldgs %
23.09%
Holding
445
New
39
Increased
154
Reduced
183
Closed
50

Top Buys

Rank Stock Value
1
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$5.7M
2
IBDM
iShares iBonds Dec 2021 Term Corporate ETF
IBDM
+$4.88M
3
EFG icon
iShares MSCI EAFE Growth ETF
EFG
+$4M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$2.99M
5
LEMB icon
iShares JPMorgan EM Local Currency Bond ETF
LEMB
+$2.82M

Top Sells

Rank Stock Value
1
ITOT icon
iShares Core S&P Total US Stock Market ETF
ITOT
+$14M
2
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$11.2M
3
IUSB icon
iShares Core Universal USD Bond ETF
IUSB
+$9.37M
4
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.62M
5
IWD icon
iShares Russell 1000 Value ETF
IWD
+$7.4M

Sector Composition

Rank Sector Weight
1 Technology 7.76%
2 Healthcare 3.99%
3 Financials 3.36%
4 Consumer Discretionary 2.7%
5 Industrials 1.94%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MAIN icon
426
Main Street Capital
MAIN
$5.52B
– –
-5,049
Closed -$207K
NUE icon
427
Nucor
NUE
$61.9B
– –
-6,056
Closed -$583K
PARA
428
DELISTED
Paramount Global Class B
PARA
– –
-7,324
Closed -$331K
PLUG icon
429
Plug Power
PLUG
$3.08B
– –
-13,050
Closed -$446K
PSEC icon
430
Prospect Capital
PSEC
$1.14B
– –
-11,150
Closed -$94K
BCIC
431
BCP Investment Corp
BCIC
$95.8M
– –
-2,108
Closed -$50K
QQEW icon
432
First Trust Nasdaq-100 Select Equal Weight ETF
QQEW
$1.84B
– –
-1,926
Closed -$216K
RAVI icon
433
FlexShares Ultra-Short Income Fund
RAVI
$1.5B
– –
-5,315
Closed -$405K
SHY icon
434
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
– –
-10,438
Closed -$899K
SNPS icon
435
Synopsys
SNPS
$78.7B
– –
-903
Closed -$249K
STX icon
436
Seagate
STX
$186B
– –
-2,375
Closed -$209K
TMFS icon
437
Motley Fool Small-Cap Growth ETF
TMFS
$60.1M
– –
-6,769
Closed -$271K
TSM icon
438
TSMC
TSM
$2.19T
– –
-1,686
Closed -$202K
TWLO icon
439
Twilio
TWLO
$39.3B
– –
-710
Closed -$279K
WBD icon
440
Warner Bros
WBD
$67.9B
– –
-7,775
Closed -$239K
XEL icon
441
Xcel Energy
XEL
$48.5B
– –
-3,994
Closed -$263K
XMLV icon
442
Invesco S&P MidCap Low Volatility ETF
XMLV
$740M
– –
-48,887
Closed -$2.63M
ZLAB icon
443
Zai Lab
ZLAB
$2.92B
– –
-1,882
Closed -$333K
MRO
444
DELISTED
Marathon Oil Corporation
MRO
– –
-26,338
Closed -$359K
FNI
445
DELISTED
First Trust Chindia ETF
FNI
– –
-3,880
Closed -$242K
14 15 16 17
18

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DMC
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TWM
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NS
Night Squared New York $681M AUM 50% 1-Year Est. Return
CIA
Covington Investment Advisors Ligonier, Pennsylvania $680M AUM 28.91% 1-Year Est. Return
ECM
Estabrook Capital Management New York $685M AUM 26.64% 1-Year Est. Return
CCG
Clearlake Capital Group Santa Monica, California $680M AUM 30.34% 1-Year Est. Return
MCO
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REAM
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Calton & Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Calton & Associates held 445 positions worth $457M, down 13% from $526M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

Calton & Associates withdrew a net $64.4M in Q3 2021, closing 50 positions and reducing 183 holdings. Its most notable exit was Invesco S&P MidCap Low Volatility ETF, an estimated $2.63M position sold in full.

By sector, the portfolio is most concentrated in Technology at 7.8% of assets, up from 7.1% a quarter earlier, followed by Healthcare and Financials.

Against the trend, Calton & Associates opened a new position in iShares iBonds Dec 2021 Term Corporate ETF worth $4.88M.

  • Calton & Associates's largest Q3 2021 buy was iShares iBonds Dec 2021 Term Corporate ETF: 197,210 shares worth $4.88M.
  • Calton & Associates added most to iShares Core Dividend Growth ETF in Q3 2021, an estimated $5.7M increase.
  • Calton & Associates's biggest Q3 2021 reduction was iShares Core S&P Total US Stock Market ETF, cutting an estimated $14M.
  • Calton & Associates fully exited Invesco S&P MidCap Low Volatility ETF in Q3 2021, selling an estimated $2.63M.
  • Calton & Associates's ten largest holdings make up 23% of its $457M portfolio in Q3 2021.
  • Calton & Associates opened 39 new positions and closed 50 in Q3 2021.
  • Calton & Associates's portfolio value fell 13% quarter-over-quarter to $457M.

Based on Calton & Associates's 13F filing for Q3 2021, filed 5 Nov 2021.