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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
IAI icon
251
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
$1.36B
$393K 0.03%
5,747
+186
+3% +$12.2K
PNC icon
252
PNC Financial Services
PNC
$101B
$387K 0.03%
2,429
– –
IVE icon
253
iShares S&P 500 Value ETF
IVE
$49.8B
$376K 0.03%
2,891
+211
+8% +$26.3K
DWTR
254
DELISTED
Invesco DWA Tactical Sector Rotation ETF
DWTR
$363K 0.03%
11,100
– –
BAX icon
255
Baxter International
BAX
$14.2B
$361K 0.03%
4,318
– –
FNV icon
256
Franco-Nevada
FNV
$46B
$361K 0.03%
3,501
+2,079
+146% +$201K
EFA icon
257
iShares MSCI EAFE ETF
EFA
$80.2B
$357K 0.03%
5,149
-2,356
-31% -$159K
GSIE icon
258
Goldman Sachs ActiveBeta International Equity ETF
GSIE
$6.16B
$356K 0.03%
11,787
– –
GQRE icon
259
FlexShares Global Quality Real Estate Index Fund
GQRE
$424M
$353K 0.03%
5,454
+685
+14% +$44.9K
ED icon
260
Consolidated Edison
ED
$39.9B
$352K 0.03%
3,897
+395
+11% +$35.4K
PNFP icon
261
Pinnacle Financial Partners Inc
PNFP
$15.8B
$349K 0.03%
5,461
+3
+0.1% +$181
OXY icon
262
Occidental Petroleum
OXY
$55.9B
$348K 0.03%
8,467
-267
-3% -$10.7K
LQD icon
263
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$32.8B
$339K 0.03%
2,655
-253
-9% -$32.2K
GSK icon
264
GSK
GSK
$106B
$338K 0.03%
5,770
+886
+18% +$49.3K
SCHW
265
Charles Schwab
SCHW
$187B
$338K 0.03%
7,125
+2,289
+47% +$101K
VNQ icon
266
Vanguard Real Estate ETF
VNQ
$39.1B
$335K 0.03%
3,616
+171
+5% +$15.8K
RPM icon
267
RPM International
RPM
$15B
$334K 0.03%
4,353
+3,003
+222% +$218K
AOR icon
268
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.74B
$325K 0.03%
6,798
+6,705
+7,210% +$314K
PYPL icon
269
PayPal
PYPL
$50.5B
$324K 0.03%
3,002
+45
+2% +$4.69K
IYW icon
270
iShares US Technology ETF
IYW
$25.5B
$321K 0.03%
5,528
-1,584
-22% -$86.2K
XLY icon
271
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$23.8B
$321K 0.03%
5,122
-116
-2% -$7.06K
EXC icon
272
Exelon
EXC
$47B
$318K 0.03%
9,793
-986
-9% -$31.9K
RDS.A
273
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$318K 0.03%
5,403
-1,004
-16% -$58.6K
ARKQ icon
274
ARK Autonomous Technology & Robotics ETF
ARKQ
$2.06B
$317K 0.03%
8,543
-7,000
-45% -$240K
AVGO icon
275
Broadcom
AVGO
$2.04T
$317K 0.03%
10,040
+5,990
+148% +$182K
9 10
11
12 13

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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.