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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
+7.48%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.12%
10 Year Est. Return
–
AUM
$1.88B
AUM Growth
+$88.3M
Cap. Flow
-$37.1M
Cap. Flow %
-1.97%
Top 10 Hldgs %
44.75%
Holding
2,065
New
131
Increased
428
Reduced
514
Closed
302

Top Buys

Rank Stock Value
1
JAAA icon
Janus Henderson AAA CLO ETF
JAAA
+$34.1M
2
STIP icon
iShares 0-5 Year TIPS Bond ETF
STIP
+$14.1M
3
ARMR
Armor US Equity Index ETF
ARMR
+$8.94M
4
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$6.02M
5
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$3.57M

Top Sells

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.6M
2
ISTB icon
iShares Core 1-5 Year USD Bond ETF
ISTB
+$11.4M
3
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$9.7M
4
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$6.92M
5
VIG icon
Vanguard Dividend Appreciation ETF
VIG
+$5.08M

Sector Composition

Rank Sector Weight
1 Miscellaneous 73.73%
2 Technology 7.87%
3 Financials 5.31%
4 Healthcare 2.68%
5 Consumer Discretionary 2.41%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AUSF icon
1
Global X Adaptive US Factor ETF
AUSF
$918M
$176M 9.35%
5,531,364
-57,109
-1% -$1.76M
USMV icon
2
iShares MSCI USA Min Vol Factor ETF
USMV
$24.4B
$146M 7.79%
1,816,413
-20,427
-1% -$1.58M
KLDW
3
DELISTED
Knowledge Leaders Developed World ETF
KLDW
$123M 6.55%
2,567,806
+9,004
+0.4% +$430K
PRF icon
4
Invesco FTSE RAFI US 1000 ETF
PRF
$10.1B
$93.9M 5%
2,737,300
+50,600
+2% +$1.69M
AAPL icon
5
Apple
AAPL
$4.67T
$65.1M 3.47%
361,058
+19,283
+6% +$3.05M
MTUM icon
6
iShares MSCI USA Momentum Factor ETF
MTUM
$24.4B
$53.5M 2.85%
290,292
-3,303
-1% -$609K
MSFT icon
7
Microsoft
MSFT
$3.81T
$50.1M 2.67%
146,227
-332
-0.2% -$108K
IWF icon
8
iShares Russell 1000 Growth ETF
IWF
$126B
$49.2M 2.62%
636,152
-36,640
-5% -$2.72M
ARMR
9
DELISTED
Armor US Equity Index ETF
ARMR
$48.1M 2.56%
1,765,885
+339,263
+24% +$8.94M
IVV icon
10
iShares Core S&P 500 ETF
IVV
$898B
$35.4M 1.89%
73,869
+768
+1% +$354K
OMFL icon
11
Invesco Russell 1000 Dynamic Multifactor ETF
OMFL
$4.83B
$35M 1.86%
688,293
+14,925
+2% +$735K
JAAA icon
12
Janus Henderson AAA CLO ETF
JAAA
$30B
$34.1M 1.81%
+676,455
New +$34.1M
VIG icon
13
Vanguard Dividend Appreciation ETF
VIG
$113B
$32.7M 1.74%
191,070
-30,790
-14% -$5.08M
DGRW icon
14
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
$17.3B
$31.8M 1.69%
483,490
-34,932
-7% -$2.19M
ARKK icon
15
ARK Innovation ETF
ARKK
$6.46B
$23.7M 1.26%
243,162
-5,505
-2% -$601K
BRK.B icon
16
Berkshire Hathaway Class B
BRK.B
$1.08T
$22.1M 1.18%
74,517
-11,286
-13% -$3.23M
PULS icon
17
PGIM Ultra Short Bond ETF
PULS
$18.7B
$21.5M 1.14%
433,980
-15,488
-3% -$768K
SPY icon
18
State Street SPDR S&P 500 ETF Trust
SPY
$825B
$20.9M 1.11%
43,844
-4,088
-9% -$1.88M
ARKG icon
19
ARK Genomic Revolution ETF
ARKG
$1.88B
$18.1M 0.96%
290,799
-897
-0.3% -$62K
DUK icon
20
Duke Energy
DUK
$93.8B
$17.2M 0.92%
166,856
+9,356
+6% +$948K
GSLC icon
21
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
$15.2B
$16.5M 0.88%
173,244
+17,772
+11% +$1.63M
LSST
22
DELISTED
Natixis Loomis Sayles Short Duration Income ETF
LSST
$14.4M 0.77%
579,662
+37,582
+7% +$942K
STIP icon
23
iShares 0-5 Year TIPS Bond ETF
STIP
$16B
$14.2M 0.75%
134,163
+133,374
+16,904% +$14.1M
PRFZ icon
24
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.83B
$13.9M 0.74%
362,300
-2,105
-0.6% -$80.2K
GSST icon
25
Goldman Sachs Access Ultra Short Bond ETF
GSST
$1.61B
$13.7M 0.73%
270,462
-2,074
-0.8% -$105K
1
2 3 4 5

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TU
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NFG
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6M
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RFA
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CCT
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CC
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RM
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Carroll Financial Associates's Q4 2021 Portfolio in Review

As of Q4 2021, Carroll Financial Associates held 2,065 positions worth $1.88B, up 4.9% from $1.79B the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates's Q4 2021 filing shows 131 new, 428 increased, 514 reduced and 302 closed positions. Its largest new stake was Janus Henderson AAA CLO ETF: 676,455 shares worth $34.1M. The largest sale was Janus Henderson Short Duration Income ETF, an estimated $33.6M.

By sector, the portfolio is most concentrated in Miscellaneous at 74% of assets, down from 75% a quarter earlier, followed by Technology and Financials.

  • Carroll Financial Associates's largest Q4 2021 buy was Janus Henderson AAA CLO ETF: 676,455 shares worth $34.1M.
  • Carroll Financial Associates added most to iShares 0-5 Year TIPS Bond ETF in Q4 2021, an estimated $14.1M increase.
  • Carroll Financial Associates's biggest Q4 2021 reduction was Janus Henderson Short Duration Income ETF, cutting an estimated $33.6M.
  • Carroll Financial Associates fully exited John Hancock Multifactor Large Cap ETF in Q4 2021, selling an estimated $2.3M.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $1.88B portfolio in Q4 2021.
  • Carroll Financial Associates opened 131 new positions and closed 302 in Q4 2021.
  • Carroll Financial Associates's portfolio value rose 4.9% quarter-over-quarter to $1.88B.

Based on Carroll Financial Associates's 13F filing for Q4 2021, filed 6 Jan 2022.