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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
SJM icon
301
J.M. Smucker
SJM
$12.8B
$263K 0.02%
2,529
+41
+2% +$4.34K
TROW icon
302
T. Rowe Price
TROW
$24.3B
$263K 0.02%
2,159
-2,268
-51% -$268K
NDAQ icon
303
Nasdaq
NDAQ
$52.9B
$262K 0.02%
+7,356
New +$251K
WELL icon
304
Welltower
WELL
$171B
$261K 0.02%
3,199
+502
+19% +$43K
QRVO icon
305
Qorvo
QRVO
$8.74B
$259K 0.02%
2,229
+1,717
+335% +$166K
NUVA
306
DELISTED
NuVasive, Inc.
NUVA
$257K 0.02%
3,327
+3,303
+13,763% +$233K
CDW icon
307
CDW
CDW
$17B
$255K 0.02%
1,789
-496
-22% -$65.6K
O icon
308
Realty Income
O
$59.1B
$255K 0.02%
3,581
– –
CHTR icon
309
Charter Communications
CHTR
$18.2B
$254K 0.02%
524
-152
-22% -$70K
DLTR icon
310
Dollar Tree
DLTR
$25.2B
$253K 0.02%
2,697
– –
IGSB icon
311
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23.3B
$253K 0.02%
4,720
+104
+2% +$5.58K
AGN
312
DELISTED
Allergan plc
AGN
$253K 0.02%
1,327
-103
-7% -$18.6K
AGG icon
313
iShares Core US Aggregate Bond ETF
AGG
$138B
$251K 0.02%
2,241
+133
+6% +$15K
GD icon
314
General Dynamics
GD
$106B
$251K 0.02%
1,426
+71
+5% +$12.7K
VTR icon
315
Ventas
VTR
$47.9B
$248K 0.02%
4,305
+180
+4% +$11.3K
DHR icon
316
Danaher
DHR
$144B
$247K 0.02%
1,817
+302
+20% +$38.2K
ET icon
317
Energy Transfer Partners
ET
$69.3B
$245K 0.02%
19,168
-4,870
-20% -$60K
RNG icon
318
RingCentral
RNG
$5.28B
$244K 0.02%
+1,452
New +$239K
MA icon
319
Mastercard
MA
$493B
$243K 0.02%
816
-470
-37% -$133K
COKE icon
320
Coca-Cola Consolidated
COKE
$12.8B
$241K 0.02%
8,500
-8,340
-50% -$233K
RBA icon
321
RB Global
RBA
$17.5B
$241K 0.02%
5,620
+5,262
+1,470% +$219K
MCHI icon
322
iShares MSCI China ETF
MCHI
$6.38B
$239K 0.02%
3,741
-216
-5% -$12.9K
SMH icon
323
VanEck Semiconductor ETF
SMH
$71.8B
$239K 0.02%
3,382
+3,210
+1,866% +$210K
WEC icon
324
WEC Energy
WEC
$35.1B
$239K 0.02%
2,597
+397
+18% +$36.2K
APD icon
325
Air Products & Chemicals
APD
$67.6B
$235K 0.02%
1,003
+63
+7% +$14.2K
11 12
13
14 15

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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.