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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TRV icon
326
Travelers Companies
TRV
$80.2B
$151K 0.02%
1,167
-41
-3% -$5.29K
XYLD icon
327
Global X S&P 500 Covered Call ETF
XYLD
$3.28B
$151K 0.02%
2,910
+1,040
+56% +$53.9K
MGC icon
328
Vanguard Morningstar Mega Cap ETF
MGC
$10.4B
$148K 0.02%
1,480
-100
-6% -$9.83K
GS icon
329
Goldman Sachs
GS
$303B
$146K 0.02%
652
+3
+0.5% +$698
VDC icon
330
Vanguard Consumer Staples ETF
VDC
$7.97B
$146K 0.02%
1,045
– –
HSY icon
331
Hershey
HSY
$36.6B
$145K 0.02%
1,423
– –
SPXE icon
332
ProShares S&P 500 ex-Energy ETF
SPXE
$87.6M
$144K 0.02%
4,760
– –
YUMC icon
333
Yum China
YUMC
$16.3B
$143K 0.02%
4,091
– –
CNI icon
334
Canadian National Railway
CNI
$76.6B
$142K 0.02%
1,586
– –
VMC icon
335
Vulcan Materials
VMC
$36.9B
$142K 0.02%
1,281
+21
+2% +$2.44K
DBAW icon
336
Xtrackers MSCI All World ex US Hedged Equity ETF
DBAW
$303M
$138K 0.01%
5,008
+28
+0.6% +$772
NI icon
337
NiSource
NI
$20.4B
$138K 0.01%
5,571
– –
STIP icon
338
iShares 0-5 Year TIPS Bond ETF
STIP
$15.9B
$138K 0.01%
1,404
– –
UL icon
339
Unilever
UL
$136B
$138K 0.01%
2,244
– –
CALM icon
340
Cal-Maine
CALM
$3.99B
$137K 0.01%
2,840
– –
MPC icon
341
Marathon Petroleum
MPC
$83.7B
$137K 0.01%
1,722
+24
+1% +$1.9K
ROK icon
342
Rockwell Automation
ROK
$49B
$136K 0.01%
726
– –
VOO icon
343
Vanguard S&P 500 ETF
VOO
$1.03T
$136K 0.01%
513
+18
+4% +$4.71K
CRM icon
344
Salesforce
CRM
$158B
$130K 0.01%
822
– –
IWO icon
345
iShares Russell 2000 Growth ETF
IWO
$15B
$129K 0.01%
603
+12
+2% +$2.56K
NFLX icon
346
Netflix
NFLX
$309B
$125K 0.01%
3,360
-30
-0.9% -$1.09K
AON icon
347
Aon
AON
$76B
$123K 0.01%
802
-21
-3% -$3.07K
HEDJ icon
348
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.87B
$122K 0.01%
3,880
+400
+11% +$12.8K
VTIP icon
349
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.8B
$122K 0.01%
2,541
– –
PX
350
DELISTED
Praxair Inc
PX
$122K 0.01%
761
-33
-4% -$5.3K
12 13
14
15 16

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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.