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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
EFAV icon
276
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.48B
$349K 0.02%
4,760
-1,185
-20% -$83.5K
BAX icon
277
Baxter International
BAX
$14.4B
$346K 0.02%
4,319
– –
JDD
278
DELISTED
Nuveen Diversified Dividend and Income Fund
JDD
$345K 0.02%
+39,387
New +$327K
C icon
279
Citigroup
C
$227B
$341K 0.02%
5,532
-434
-7% -$22.1K
IZRL icon
280
ARK Israel Innovative Technology ETF
IZRL
$140M
$341K 0.02%
11,500
– –
DLTR icon
281
Dollar Tree
DLTR
$24.9B
$340K 0.02%
3,155
– –
SYK icon
282
Stryker
SYK
$133B
$337K 0.02%
1,378
+288
+26% +$65.2K
EW icon
283
Edwards Lifesciences
EW
$53B
$331K 0.02%
3,631
– –
BNY
284
Bank of New York Mellon
BNY
$108B
$330K 0.02%
7,799
– –
DEO icon
285
Diageo
DEO
$54B
$328K 0.02%
2,071
-82
-4% -$12.2K
SCHR
286
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$328K 0.02%
11,288
-5,532
-33% -$161K
IWP icon
287
iShares Russell Mid-Cap Growth ETF
IWP
$20.7B
$324K 0.02%
3,162
+230
+8% +$21.9K
ZM icon
288
Zoom
ZM
$31.4B
$322K 0.02%
955
-154
-14% -$68.7K
AHRT
289
AH Realty Trust
AHRT
$503M
$317K 0.02%
28,293
+1
+0% +$10
BP icon
290
BP
BP
$110B
$317K 0.02%
15,461
-1,713
-10% -$32.3K
CTVA icon
291
Corteva
CTVA
$51B
$311K 0.02%
8,045
-19
-0.2% -$679
FV icon
292
First Trust Dorsey Wright Focus 5 ETF
FV
$3.78B
$310K 0.02%
7,666
– –
JHMT
293
DELISTED
John Hancock Multifactor Technology ETF
JHMT
$309K 0.02%
3,930
– –
IDXX icon
294
Idexx Laboratories
IDXX
$46.9B
$308K 0.02%
617
+249
+68% +$111K
SIVR icon
295
abrdn Physical Silver Shares ETF
SIVR
$4.56B
$306K 0.02%
12,000
– –
GPC icon
296
Genuine Parts
GPC
$18.5B
$305K 0.02%
3,045
– –
FNDB icon
297
Schwab Fundamental US Broad Market Index ETF
FNDB
$1.47B
$304K 0.02%
20,376
– –
SJM icon
298
J.M. Smucker
SJM
$12.6B
$294K 0.02%
2,547
+15
+0.6% +$1.74K
PKG icon
299
Packaging Corp of America
PKG
$22.7B
$292K 0.02%
2,119
-1,912
-47% -$241K
BHP icon
300
BHP
BHP
$230B
$291K 0.02%
4,997
+22
+0.4% +$1.1K
10 11
12
13 14

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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.