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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CVS icon
226
CVS Health
CVS
$122B
$458K 0.04%
7,262
-407
-5% -$24.1K
SYSB
227
iShares Systematic Bond ETF
SYSB
$1.17B
$455K 0.04%
+4,494
New +$454K
IWM icon
228
iShares Russell 2000 ETF
IWM
$81.9B
$452K 0.04%
2,990
-278
-9% -$42.5K
TXN icon
229
Texas Instruments
TXN
$261B
$448K 0.04%
3,466
+30
+0.9% +$3.7K
DEO icon
230
Diageo
DEO
$53.6B
$445K 0.04%
2,726
-140
-5% -$23.4K
PFM icon
231
Invesco Dividend Achievers ETF
PFM
$808M
$443K 0.04%
15,004
-1,378
-8% -$40.2K
VB icon
232
Vanguard Morningstar Small-Cap ETF
VB
$82.7B
$442K 0.04%
2,877
-1,085
-27% -$168K
IBB icon
233
iShares Biotechnology ETF
IBB
$9.71B
$438K 0.04%
4,410
-504
-10% -$52.8K
CLX icon
234
Clorox
CLX
$12.7B
$437K 0.04%
2,882
-58
-2% -$9.17K
TSM icon
235
TSMC
TSM
$2.18T
$437K 0.04%
9,402
+3,875
+70% +$165K
JPMF
236
DELISTED
JPMorgan Managed Futures Strategy ETF
JPMF
$426K 0.04%
+16,761
New +$420K
FNDA icon
237
Schwab Fundamental US Small Company Index ETF
FNDA
$9.38B
$425K 0.04%
22,532
-226
-1% -$4.22K
SDY icon
238
State Street SPDR S&P Dividend ETF
SDY
$22.1B
$421K 0.04%
4,106
-100
-2% -$10.1K
PPG icon
239
PPG Industries
PPG
$26.6B
$419K 0.04%
3,543
-134
-4% -$15.4K
IVW icon
240
iShares S&P 500 Growth ETF
IVW
$77.6B
$418K 0.04%
9,304
+36
+0.4% +$1.63K
ROST icon
241
Ross Stores
ROST
$81.9B
$418K 0.04%
3,813
+1,542
+68% +$163K
ZBH icon
242
Zimmer Biomet
ZBH
$18.4B
$408K 0.04%
3,066
– –
VOO icon
243
Vanguard S&P 500 ETF
VOO
$1.03T
$406K 0.04%
1,491
-70
-4% -$19K
TMO icon
244
Thermo Fisher Scientific
TMO
$220B
$396K 0.03%
1,360
-7
-0.5% -$2K
NVS icon
245
Novartis
NVS
$297B
$394K 0.03%
4,540
-204
-4% -$18.3K
ITA icon
246
iShares US Aerospace & Defense ETF
ITA
$15B
$389K 0.03%
3,470
+100
+3% +$10.9K
OXY icon
247
Occidental Petroleum
OXY
$55.9B
$388K 0.03%
8,734
-136
-2% -$6.43K
RF icon
248
Regions Financial
RF
$26.8B
$387K 0.03%
24,515
– –
BNY
249
Bank of New York Mellon
BNY
$107B
$382K 0.03%
8,465
-5,253
-38% -$234K
JPST icon
250
JPMorgan Ultra-Short Income ETF
JPST
$40.6B
$380K 0.03%
7,543
+25
+0.3% +$1.26K
8 9
10
11 12

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NFG
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6M
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RFA
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CCT
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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.