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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
COP icon
251
ConocoPhillips
COP
$148B
$380K 0.03%
11,573
-562
-5% -$21.3K
GLW icon
252
Corning
GLW
$139B
$380K 0.03%
11,727
-169
-1% -$5.22K
CARR icon
253
Carrier Global
CARR
$53B
$377K 0.03%
12,355
-704
-5% -$19.9K
DOW icon
254
Dow Inc
DOW
$22.5B
$374K 0.03%
7,949
-8,833
-53% -$397K
OTIS icon
255
Otis Worldwide
OTIS
$27.7B
$372K 0.03%
5,967
-405
-6% -$24.8K
ICLN icon
256
iShares Global Clean Energy ETF
ICLN
$2.11B
$368K 0.03%
19,941
+2,300
+13% +$36K
NVS icon
257
Novartis
NVS
$297B
$367K 0.03%
4,222
-789
-16% -$68.4K
AMP icon
258
Ameriprise Financial
AMP
$49.3B
$364K 0.03%
2,364
– –
XYZ
259
Block Inc
XYZ
$47.6B
$363K 0.03%
2,236
+1,909
+584% +$270K
IYT icon
260
iShares US Transportation ETF
IYT
$2.28B
$362K 0.03%
7,288
+6,884
+1,704% +$322K
PJAN icon
261
Innovator US Equity Power Buffer ETF January
PJAN
$1.43B
$348K 0.03%
+11,900
New +$345K
BAX icon
262
Baxter International
BAX
$14.3B
$347K 0.03%
4,319
– –
MOM
263
DELISTED
AGFiQ U.S. Market Neutral Momentum Fund
MOM
$347K 0.03%
11,216
+6,769
+152% +$203K
DHR icon
264
Danaher
DHR
$146B
$342K 0.03%
1,795
+33
+2% +$5.87K
NWBI icon
265
Northwest Bancshares
NWBI
$2.28B
$341K 0.03%
37,156
+254
+0.7% +$2.51K
ALGN icon
266
Align Technology
ALGN
$12.6B
$339K 0.03%
1,038
– –
PSX icon
267
Phillips 66
PSX
$87.5B
$330K 0.03%
6,384
-55
-0.9% -$3.36K
ARKF icon
268
ARK Blockchain & Fintech Innovation ETF
ARKF
$770M
$329K 0.03%
8,317
+1,407
+20% +$52.2K
FITB
269
Fifth Third Bancorp
FITB
$51.8B
$329K 0.03%
15,458
+17
+0.1% +$342
SDY icon
270
State Street SPDR S&P Dividend ETF
SDY
$22.1B
$328K 0.03%
3,556
+7
+0.2% +$660
ALB icon
271
Albemarle
ALB
$15.4B
$311K 0.02%
3,487
+194
+6% +$17.2K
SPGI icon
272
S&P Global
SPGI
$121B
$310K 0.02%
861
-7
-0.8% -$2.47K
FNDA icon
273
Schwab Fundamental US Small Company Index ETF
FNDA
$9.36B
$309K 0.02%
18,746
– –
IWB icon
274
iShares Russell 1000 ETF
IWB
$50.2B
$307K 0.02%
1,645
+353
+27% +$65.2K
BP icon
275
BP
BP
$111B
$299K 0.02%
17,174
-1,974
-10% -$42.7K
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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C
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CC
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RM
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Carroll Financial Associates's Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.