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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FITB
226
Fifth Third Bancorp
FITB
$51.8B
$470K 0.04%
15,316
+3,236
+27% +$94.9K
SOXX icon
227
iShares Semiconductor ETF
SOXX
$48.7B
$470K 0.04%
5,616
+240
+4% +$18.5K
SDY icon
228
State Street SPDR S&P Dividend ETF
SDY
$23.9B
$467K 0.04%
4,344
+238
+6% +$25K
CRM icon
229
Salesforce
CRM
$158B
$463K 0.04%
2,850
+1,157
+68% +$181K
EW icon
230
Edwards Lifesciences
EW
$51.7B
$461K 0.04%
5,931
+2,193
+59% +$171K
FNDA icon
231
Schwab Fundamental US Small Company Index ETF
FNDA
$9.38B
$453K 0.04%
22,532
– –
DEO icon
232
Diageo
DEO
$53.6B
$446K 0.04%
2,648
-78
-3% -$12.7K
CLX icon
233
Clorox
CLX
$12.7B
$444K 0.04%
2,896
+14
+0.5% +$2.09K
YUM icon
234
Yum! Brands
YUM
$41.1B
$443K 0.04%
4,403
+66
+2% +$6.84K
TMO icon
235
Thermo Fisher Scientific
TMO
$220B
$441K 0.04%
1,358
-2
-0.1% -$606
SYY icon
236
Sysco
SYY
$40.3B
$435K 0.03%
5,090
+1,264
+33% +$102K
LMT icon
237
Lockheed Martin
LMT
$136B
$429K 0.03%
1,103
-95
-8% -$36.5K
XYLD icon
238
Global X S&P 500 Covered Call ETF
XYLD
$3.27B
$429K 0.03%
8,485
+1,090
+15% +$54.2K
TXN icon
239
Texas Instruments
TXN
$261B
$428K 0.03%
3,336
-130
-4% -$16K
SLV icon
240
iShares Silver Trust
SLV
$30.7B
$424K 0.03%
25,469
+1,604
+7% +$26K
FVD icon
241
First Trust Value Line Dividend Fund
FVD
$8.41B
$423K 0.03%
11,767
+4,904
+71% +$173K
RF icon
242
Regions Financial
RF
$26.8B
$420K 0.03%
24,515
– –
BNY
243
Bank of New York Mellon
BNY
$107B
$417K 0.03%
8,305
-160
-2% -$7.64K
SHW icon
244
Sherwin-Williams
SHW
$89.8B
$415K 0.03%
2,133
+108
+5% +$20.6K
ZBH icon
245
Zimmer Biomet
ZBH
$18.4B
$409K 0.03%
2,816
-250
-8% -$34.5K
ACN icon
246
Accenture
ACN
$108B
$407K 0.03%
1,935
+221
+13% +$43.1K
ITA icon
247
iShares US Aerospace & Defense ETF
ITA
$14.7B
$404K 0.03%
3,640
+170
+5% +$19.1K
MUB icon
248
iShares National Muni Bond ETF
MUB
$45.5B
$402K 0.03%
3,532
-574
-14% -$65.4K
FNDB icon
249
Schwab Fundamental US Broad Market Index ETF
FNDB
$1.45B
$398K 0.03%
28,377
– –
AMP icon
250
Ameriprise Financial
AMP
$48.8B
$393K 0.03%
2,364
– –
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 Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

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

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.