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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DOW icon
251
Dow Inc
DOW
$22.1B
$451K 0.03%
8,130
+181
+2% +$9.35K
VCIT icon
252
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$67.5B
$448K 0.03%
4,618
+288
+7% +$27.7K
PSX icon
253
Phillips 66
PSX
$86B
$446K 0.03%
6,390
+6
+0.1% +$352
VHT icon
254
Vanguard Health Care ETF
VHT
$19B
$444K 0.03%
1,985
+84
+4% +$18K
ACN icon
255
Accenture
ACN
$109B
$433K 0.03%
1,659
-137
-8% -$32.8K
GQRE icon
256
FlexShares Global Quality Real Estate Index Fund
GQRE
$418M
$425K 0.03%
7,398
+9
+0.1% +$497
GLW icon
257
Corning
GLW
$136B
$422K 0.03%
11,732
+5
+0% +$178
SSB icon
258
SouthState Bank Corp
SSB
$10.5B
$417K 0.03%
5,772
-2,222
-28% -$146K
LMT icon
259
Lockheed Martin
LMT
$139B
$414K 0.03%
1,166
– –
AEP icon
260
American Electric Power
AEP
$66.9B
$411K 0.03%
4,941
-106
-2% -$9.2K
CARR icon
261
Carrier Global
CARR
$52.3B
$409K 0.03%
10,850
-1,505
-12% -$54.5K
ARKF icon
262
ARK Blockchain & Fintech Innovation ETF
ARKF
$763M
$408K 0.03%
8,214
-103
-1% -$4.64K
FNDA icon
263
Schwab Fundamental US Small Company Index ETF
FNDA
$9.3B
$402K 0.03%
18,746
– –
JSMD icon
264
Janus Henderson Small/Mid Cap Growth Alpha ETF
JSMD
$1.09B
$393K 0.03%
6,271
+3,036
+94% +$175K
JPST icon
265
JPMorgan Ultra-Short Income ETF
JPST
$40.6B
$389K 0.03%
7,672
-373
-5% -$18.9K
GPN icon
266
Global Payments
GPN
$22.8B
$385K 0.03%
1,791
+878
+96% +$164K
RF icon
267
Regions Financial
RF
$26.8B
$382K 0.03%
23,701
-140
-0.6% -$2.02K
NVS icon
268
Novartis
NVS
$298B
$380K 0.03%
4,028
-194
-5% -$17K
SDY icon
269
State Street SPDR S&P Dividend ETF
SDY
$22.1B
$377K 0.03%
3,565
+9
+0.3% +$911
PJAN icon
270
Innovator US Equity Power Buffer ETF January
PJAN
$1.43B
$363K 0.02%
11,900
– –
XYZ
271
Block Inc
XYZ
$47.5B
$362K 0.02%
1,666
-570
-25% -$111K
DHR icon
272
Danaher
DHR
$147B
$360K 0.02%
1,832
+37
+2% +$7.42K
VLUE icon
273
iShares MSCI USA Value Factor ETF
VLUE
$9.46B
$357K 0.02%
4,118
-1,978
-32% -$161K
IRM icon
274
Iron Mountain
IRM
$36.2B
$353K 0.02%
11,992
+5,099
+74% +$141K
OTIS icon
275
Otis Worldwide
OTIS
$27.7B
$352K 0.02%
5,224
-743
-12% -$48.2K
9 10
11
12 13

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.