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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
BABA icon
251
Alibaba
BABA
$308B
$379K 0.03%
2,269
+57
+3% +$9.8K
SLV icon
252
iShares Silver Trust
SLV
$30.9B
$379K 0.03%
23,865
+20,529
+615% +$326K
TSC
253
DELISTED
TriState Capital Holdings, Inc.
TSC
$379K 0.03%
18,050
+6,700
+59% +$137K
SOXX icon
254
iShares Semiconductor ETF
SOXX
$45.9B
$378K 0.03%
5,376
+5,163
+2,424% +$356K
BAX icon
255
Baxter International
BAX
$14.2B
$377K 0.03%
4,318
-100
-2% -$8.54K
RDS.A
256
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$377K 0.03%
6,407
-2,424
-27% -$144K
EXC icon
257
Exelon
EXC
$47B
$371K 0.03%
10,779
+124
+1% +$4.16K
SHW icon
258
Sherwin-Williams
SHW
$89.8B
$371K 0.03%
2,025
– –
FNDB icon
259
Schwab Fundamental US Broad Market Index ETF
FNDB
$1.46B
$370K 0.03%
28,377
– –
LQD icon
260
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$32.8B
$370K 0.03%
2,908
-395
-12% -$49.8K
BGX
261
Blackstone Long-Short Credit Income Fund
BGX
$138M
$367K 0.03%
+23,295
New +$373K
VWO icon
262
Vanguard FTSE Emerging Markets ETF
VWO
$126B
$366K 0.03%
9,113
-1,113
-11% -$45.9K
IYW icon
263
iShares US Technology ETF
IYW
$25.5B
$363K 0.03%
7,112
-3,740
-34% -$190K
GILD icon
264
Gilead Sciences
GILD
$165B
$362K 0.03%
5,720
+1,774
+45% +$116K
XYLD icon
265
Global X S&P 500 Covered Call ETF
XYLD
$3.28B
$360K 0.03%
7,395
+205
+3% +$10.1K
F icon
266
Ford
F
$55.7B
$359K 0.03%
39,266
-9,098
-19% -$86.4K
IAI icon
267
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
$1.36B
$357K 0.03%
5,561
– –
MA icon
268
Mastercard
MA
$493B
$349K 0.03%
1,286
+760
+144% +$209K
DWTR
269
DELISTED
Invesco DWA Tactical Sector Rotation ETF
DWTR
$348K 0.03%
11,100
– –
AMP icon
270
Ameriprise Financial
AMP
$48.8B
$347K 0.03%
2,364
-8
-0.3% -$1.12K
PNC icon
271
PNC Financial Services
PNC
$101B
$340K 0.03%
2,429
– –
GSIE icon
272
Goldman Sachs ActiveBeta International Equity ETF
GSIE
$6.16B
$333K 0.03%
11,787
– –
ED icon
273
Consolidated Edison
ED
$39.9B
$330K 0.03%
3,502
– –
FITB
274
Fifth Third Bancorp
FITB
$51.8B
$330K 0.03%
12,080
-40
-0.3% -$1.1K
PKB icon
275
Invesco Building & Construction ETF
PKB
$399M
$330K 0.03%
10,124
+848
+9% +$26.6K
9 10
11
12 13

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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.