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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
IDV icon
276
iShares International Select Dividend ETF
IDV
$8.54B
$298K 0.02%
11,982
+8,815
+278% +$229K
APD icon
277
Air Products & Chemicals
APD
$68.9B
$296K 0.02%
994
-2
-0.2% -$575
DEO icon
278
Diageo
DEO
$53.1B
$296K 0.02%
2,153
-331
-13% -$45.6K
TAN icon
279
Invesco Solar ETF
TAN
$1.39B
$293K 0.02%
4,528
– –
SJM icon
280
J.M. Smucker
SJM
$12.6B
$292K 0.02%
2,532
+13
+0.5% +$1.45K
IVE icon
281
iShares S&P 500 Value ETF
IVE
$50B
$290K 0.02%
2,587
+194
+8% +$22K
EW icon
282
Edwards Lifesciences
EW
$54B
$289K 0.02%
3,631
+85
+2% +$6.63K
GPC icon
283
Genuine Parts
GPC
$18.6B
$289K 0.02%
3,045
-450
-13% -$41.9K
BIIB icon
284
Biogen
BIIB
$30.5B
$288K 0.02%
1,016
+72
+8% +$20.1K
DLTR icon
285
Dollar Tree
DLTR
$24.8B
$288K 0.02%
3,155
+38
+1% +$3.58K
IZRL icon
286
ARK Israel Innovative Technology ETF
IZRL
$137M
$288K 0.02%
11,500
– –
XLY icon
287
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$23.7B
$283K 0.02%
3,858
-26
-0.7% -$1.84K
PNFP icon
288
Pinnacle Financial Partners Inc
PNFP
$15.9B
$276K 0.02%
7,771
+2,301
+42% +$91.6K
SIZE icon
289
iShares MSCI USA Size Factor ETF
SIZE
$442M
$276K 0.02%
+2,944
New +$274K
MUB icon
290
iShares National Muni Bond ETF
MUB
$45.9B
$274K 0.02%
2,372
-4,840
-67% -$562K
RF icon
291
Regions Financial
RF
$26.9B
$274K 0.02%
23,841
– –
PAUG icon
292
Innovator US Equity Power Buffer ETF August
PAUG
$936M
$272K 0.02%
+10,063
New +$269K
SIVR icon
293
abrdn Physical Silver Shares ETF
SIVR
$4.5B
$269K 0.02%
12,000
– –
BNY
294
Bank of New York Mellon
BNY
$109B
$267K 0.02%
7,799
-306
-4% -$11.1K
HYG icon
295
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
$262K 0.02%
3,129
+451
+17% +$38K
AHRT
296
AH Realty Trust
AHRT
$507M
$261K 0.02%
28,292
-2
-0% -$20
BSV icon
297
Vanguard Short-Term Bond ETF
BSV
$45.6B
$261K 0.02%
3,148
+404
+15% +$33.6K
FV icon
298
First Trust Dorsey Wright Focus 5 ETF
FV
$3.79B
$261K 0.02%
7,666
-13,058
-63% -$445K
JPIN icon
299
JPMorgan Diversified Return International Equity ETF
JPIN
$375M
$259K 0.02%
5,028
-242
-5% -$12.6K
JHMT
300
DELISTED
John Hancock Multifactor Technology ETF
JHMT
$259K 0.02%
3,930
+7
+0.2% +$448
10 11
12
13 14

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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 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.