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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
XSD icon
351
State Street SPDR S&P Semiconductor ETF
XSD
$2.93B
$212K 0.02%
2,003
-380
-16% -$36.8K
JHMT
352
DELISTED
John Hancock Multifactor Technology ETF
JHMT
$211K 0.02%
3,815
+1,087
+40% +$57.1K
CME icon
353
CME Group
CME
$94.8B
$209K 0.02%
1,042
+100
+11% +$20.5K
SIVR icon
354
abrdn Physical Silver Shares ETF
SIVR
$4.42B
$207K 0.02%
12,000
– –
F icon
355
Ford
F
$55.7B
$206K 0.02%
22,155
-17,111
-44% -$154K
IJJ icon
356
iShares S&P Mid-Cap 400 Value ETF
IJJ
$9.03B
$206K 0.02%
2,418
+526
+28% +$43.2K
DIVY
357
DELISTED
Reality Shares DIVS ETF
DIVY
$205K 0.02%
7,684
-1,894
-20% -$50.7K
FDN icon
358
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.34B
$203K 0.02%
1,464
+16
+1% +$2.16K
FAST icon
359
Fastenal
FAST
$59.5B
$202K 0.02%
10,936
-140
-1% -$2.5K
NEAR icon
360
iShares Short Maturity Bond ETF
NEAR
$4.88B
$202K 0.02%
4,024
-12
-0.3% -$603
DNL icon
361
WisdomTree Global ex-U.S. Quality Growth Fund
DNL
$501M
$201K 0.02%
6,126
+694
+13% +$21.4K
HSY icon
362
Hershey
HSY
$36.6B
$200K 0.02%
1,363
– –
CDC icon
363
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
$742M
$198K 0.02%
4,055
+31
+0.8% +$1.47K
RSPU icon
364
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
$533M
$196K 0.02%
3,690
– –
YUMC icon
365
Yum China
YUMC
$16.3B
$196K 0.02%
4,091
– –
ILMN icon
366
Illumina
ILMN
$28.4B
$195K 0.02%
+604
New +$183K
CL icon
367
Colgate-Palmolive
CL
$74.4B
$194K 0.02%
2,825
-54
-2% -$3.68K
DEI icon
368
Douglas Emmett
DEI
$1.96B
$193K 0.02%
4,396
-994
-18% -$43K
SPMD icon
369
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.9B
$193K 0.02%
5,349
-282
-5% -$9.83K
ATVI
370
DELISTED
Activision Blizzard
ATVI
$193K 0.02%
3,252
+2,241
+222% +$124K
VYM icon
371
Vanguard High Dividend Yield ETF
VYM
$83.5B
$191K 0.02%
2,045
+79
+4% +$7.16K
IMKTA icon
372
Ingles Markets
IMKTA
$1.67B
$190K 0.02%
4,000
– –
BSX icon
373
Boston Scientific
BSX
$71.5B
$189K 0.02%
4,200
– –
DINO icon
374
HF Sinclair
DINO
$14.5B
$185K 0.01%
3,648
– –
GLW icon
375
Corning
GLW
$143B
$185K 0.01%
6,379
– –
13 14
15
16 17

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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.