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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
OUSM icon
351
ALPS O'Shares US Small-Cap Quality Dividend ETF
OUSM
$883M
$216K 0.01%
6,973
– –
O icon
352
Realty Income
O
$58.6B
$214K 0.01%
3,559
– –
PEGA icon
353
Pegasystems
PEGA
$5.44B
$214K 0.01%
3,216
-10
-0.3% -$638
IAT icon
354
iShares US Regional Banks ETF
IAT
$680M
$212K 0.01%
4,682
– –
CTAS icon
355
Cintas
CTAS
$82.4B
$210K 0.01%
2,380
– –
IJJ icon
356
iShares S&P Mid-Cap 400 Value ETF
IJJ
$9.03B
$208K 0.01%
2,418
– –
NYT icon
357
New York Times
NYT
$10.2B
$208K 0.01%
4,018
+1,537
+62% +$68.3K
ADSK icon
358
Autodesk
ADSK
$53.2B
$207K 0.01%
680
+533
+363% +$140K
NOW icon
359
ServiceNow
NOW
$131B
$206K 0.01%
1,880
-375
-17% -$39K
TTWO icon
360
Take-Two Interactive
TTWO
$46.8B
$206K 0.01%
992
+868
+700% +$152K
WM icon
361
Waste Management
WM
$91.3B
$206K 0.01%
1,751
-375
-18% -$43.7K
PBW icon
362
Invesco WilderHill Clean Energy ETF
PBW
$463M
$205K 0.01%
1,983
– –
WFH
363
DELISTED
Direxion Work From Home ETF
WFH
$205K 0.01%
+3,048
New +$183K
PH icon
364
Parker-Hannifin
PH
$134B
$204K 0.01%
750
– –
PAVE icon
365
Global X US Infrastructure Development ETF
PAVE
$14.4B
$203K 0.01%
+9,608
New +$187K
MLPX icon
366
Global X MLP & Energy Infrastructure ETF
MLPX
$3.55B
$200K 0.01%
7,456
-296
-4% -$7.51K
EFA icon
367
iShares MSCI EAFE ETF
EFA
$80B
$194K 0.01%
2,664
– –
B
368
Barrick Mining
B
$68.4B
$194K 0.01%
8,527
+5,160
+153% +$131K
MAR icon
369
Marriott International
MAR
$91B
$194K 0.01%
1,477
+28
+2% +$3.2K
VFC icon
370
VF Corp
VFC
$5.86B
$193K 0.01%
2,269
-100
-4% -$7.99K
RGEN icon
371
Repligen
RGEN
$9.28B
$191K 0.01%
1,000
– –
AON icon
372
Aon
AON
$75.8B
$190K 0.01%
901
+32
+4% +$6.53K
GD icon
373
General Dynamics
GD
$106B
$189K 0.01%
1,276
+1
+0.1% +$146
PRAH
374
DELISTED
PRA Health Sciences, Inc.
PRAH
$189K 0.01%
1,510
– –
IWO icon
375
iShares Russell 2000 Growth ETF
IWO
$14.9B
$188K 0.01%
656
– –
13 14
15
16 17

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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.