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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
+12.45%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.07B
AUM Growth
+$168M
Cap. Flow
+$78.7M
Cap. Flow %
7.37%
Top 10 Hldgs %
50.27%
Holding
1,608
New
222
Increased
400
Reduced
272
Closed
81

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$28.6M
2
SPMD icon
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
+$22.2M
3
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$21.7M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.38M
5
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$3.54M

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$10.2M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$5.82M
3
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$5.76M
4
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$4.52M
5
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$3.9M

Sector Composition

Rank Sector Weight
1 Financials 6.19%
2 Technology 5.5%
3 Healthcare 3.32%
4 Energy 2.82%
5 Consumer Staples 2.23%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UUP icon
351
Invesco DB US Dollar Index Bullish Fund
UUP
$413M
$164K 0.02%
6,321
+4,021
+175% +$103K
FRN
352
DELISTED
Invesco Frontier Markets ETF
FRN
$163K 0.02%
11,944
– –
TIP icon
353
iShares TIPS Bond ETF
TIP
$14.7B
$162K 0.02%
1,439
+38
+3% +$4.21K
JEF icon
354
Jefferies Financial Group
JEF
$13.1B
$161K 0.02%
+9,607
New +$170K
ZTS icon
355
Zoetis
ZTS
$30B
$161K 0.02%
1,603
+839
+110% +$76.2K
SMM
356
DELISTED
Salient Midstream & MLP Fund
SMM
$161K 0.02%
17,610
– –
OUSM icon
357
ALPS O'Shares US Small-Cap Quality Dividend ETF
OUSM
$885M
$159K 0.01%
6,010
+5,720
+1,972% +$148K
RSPU icon
358
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
$533M
$159K 0.01%
3,290
+2,200
+202% +$102K
TRV icon
359
Travelers Companies
TRV
$80.2B
$158K 0.01%
1,154
-14
-1% -$1.79K
IJJ icon
360
iShares S&P Mid-Cap 400 Value ETF
IJJ
$9.03B
$157K 0.01%
2,004
+82
+4% +$6.35K
NHI icon
361
National Health Investors
NHI
$3.65B
$157K 0.01%
2,000
– –
HSY icon
362
Hershey
HSY
$36.6B
$156K 0.01%
1,363
– –
THFF icon
363
First Financial Corp
THFF
$969M
$156K 0.01%
3,729
– –
FBT icon
364
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.78B
$155K 0.01%
1,033
+872
+542% +$125K
GM icon
365
General Motors
GM
$76.8B
$155K 0.01%
4,193
-1,228
-23% -$46.6K
JSMD icon
366
Janus Henderson Small/Mid Cap Growth Alpha ETF
JSMD
$1.1B
$154K 0.01%
+3,630
New +$152K
NULV icon
367
Nuveen ESG Large-Cap Value ETF
NULV
$2.27B
$153K 0.01%
5,229
-1,008
-16% -$28.6K
KHC icon
368
Kraft Heinz
KHC
$30B
$152K 0.01%
4,670
+364
+8% +$14.8K
MJ icon
369
Amplify Alternative Harvest ETF
MJ
$105M
$151K 0.01%
348
+198
+132% +$81.6K
VDC icon
370
Vanguard Consumer Staples ETF
VDC
$7.97B
$151K 0.01%
1,045
-18
-2% -$2.5K
QED
371
DELISTED
IQ Hedge Event-Driven Tracker ETF
QED
$150K 0.01%
+7,161
New +$147K
IHE icon
372
iShares US Pharmaceuticals ETF
IHE
$1.64B
$149K 0.01%
+2,919
New +$145K
NKSH icon
373
National Bankshares
NKSH
$268M
$149K 0.01%
3,500
– –
NTAP icon
374
NetApp
NTAP
$37.2B
$149K 0.01%
2,162
– –
UL icon
375
Unilever
UL
$136B
$147K 0.01%
2,278
+34
+2% +$2.07K
13 14
15
16 17

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Carroll Financial Associates's Q1 2019 Portfolio in Review

As of Q1 2019, Carroll Financial Associates held 1,608 positions worth $1.07B, up 19% from $899M the previous quarter. Its ten largest holdings account for 50% of the portfolio.

Carroll Financial Associates deployed $78.7M of net new capital in Q1 2019, opening 222 new positions and adding to 400 existing holdings. Its largest new stake was State Street SPDR Portfolio S&P 400 Mid Cap ETF: 680,160 shares worth $22.7M.

By sector, the portfolio is most concentrated in Financials at 6.2% of assets, down from 7.4% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was iShares MSCI USA Min Vol Factor ETF, an estimated $10.2M trimmed.

  • Carroll Financial Associates's largest Q1 2019 buy was State Street SPDR Portfolio S&P 400 Mid Cap ETF: 680,160 shares worth $22.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q1 2019, an estimated $28.6M increase.
  • Carroll Financial Associates's biggest Q1 2019 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $10.2M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q1 2019, selling an estimated $1.99M.
  • Carroll Financial Associates's ten largest holdings make up 50% of its $1.07B portfolio in Q1 2019.
  • Carroll Financial Associates opened 222 new positions and closed 81 in Q1 2019.
  • Carroll Financial Associates's portfolio value rose 19% quarter-over-quarter to $1.07B.

Based on Carroll Financial Associates's 13F filing for Q1 2019, filed 17 Apr 2019.