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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TMO icon
226
Thermo Fisher Scientific
TMO
$220B
$310K 0.03%
1,272
-18
-1% -$4.14K
NUAG icon
227
Nuveen Enhanced Yield US Aggregate Bond ETF
NUAG
$96.7M
$305K 0.03%
13,050
– –
BX icon
228
Blackstone
BX
$110B
$302K 0.03%
7,943
-2,896
-27% -$105K
MUB icon
229
iShares National Muni Bond ETF
MUB
$45.9B
$302K 0.03%
2,800
-365
-12% -$39.7K
GSK icon
230
GSK
GSK
$106B
$301K 0.03%
6,010
+14
+0.2% +$711
RDS.A
231
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$301K 0.03%
4,422
-88
-2% -$5.88K
LQD icon
232
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$32.8B
$300K 0.03%
2,615
-254
-9% -$29.3K
PREF icon
233
Principal Spectrum Preferred Securities Active ETF
PREF
$1.78B
$300K 0.03%
15,800
– –
TXN icon
234
Texas Instruments
TXN
$261B
$299K 0.03%
2,788
-66
-2% -$7.34K
BSV icon
235
Vanguard Short-Term Bond ETF
BSV
$45.6B
$295K 0.03%
3,781
+555
+17% +$43.4K
ESRX
236
DELISTED
Express Scripts Holding Company
ESRX
$295K 0.03%
3,109
-7
-0.2% -$597
DEO icon
237
Diageo
DEO
$53.6B
$291K 0.03%
2,059
+196
+11% +$28.1K
SHW icon
238
Sherwin-Williams
SHW
$89.8B
$287K 0.03%
1,890
-42
-2% -$6.22K
IWM icon
239
iShares Russell 2000 ETF
IWM
$81.9B
$284K 0.03%
1,687
+140
+9% +$23.6K
SYY icon
240
Sysco
SYY
$40.3B
$283K 0.03%
3,872
-6,619
-63% -$477K
AGG icon
241
iShares Core US Aggregate Bond ETF
AGG
$138B
$280K 0.03%
2,653
-57
-2% -$6.05K
ED icon
242
Consolidated Edison
ED
$39.9B
$271K 0.03%
3,570
-200
-5% -$15.8K
GQRE icon
243
FlexShares Global Quality Real Estate Index Fund
GQRE
$424M
$270K 0.03%
4,407
-14
-0.3% -$874
CL icon
244
Colgate-Palmolive
CL
$74.4B
$267K 0.03%
3,992
-1,188
-23% -$79.1K
VO icon
245
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$267K 0.03%
6,524
– –
VTR icon
246
Ventas
VTR
$47.9B
$265K 0.03%
4,888
– –
ETN icon
247
Eaton
ETN
$174B
$261K 0.03%
3,016
+8
+0.3% +$654
PYPL icon
248
PayPal
PYPL
$50.5B
$258K 0.03%
2,940
+2
+0.1% +$176
VWO icon
249
Vanguard FTSE Emerging Markets ETF
VWO
$126B
$258K 0.03%
6,310
+312
+5% +$13.1K
BABA icon
250
Alibaba
BABA
$308B
$256K 0.03%
1,554
+75
+5% +$13.3K
8 9
10
11 12

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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.