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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
GPN icon
376
Global Payments
GPN
$22.8B
$185K 0.01%
1,014
– –
IRM icon
377
Iron Mountain
IRM
$36.1B
$184K 0.01%
5,793
+5,084
+717% +$167K
EL icon
378
Estee Lauder
EL
$32B
$183K 0.01%
888
+184
+26% +$35.7K
FNB icon
379
FNB Corp
FNB
$6.75B
$182K 0.01%
14,337
– –
IXUS icon
380
iShares Core MSCI Total International Stock ETF
IXUS
$60.4B
$182K 0.01%
2,949
-441
-13% -$26.4K
KRC icon
381
Kilroy Realty
KRC
$4.42B
$182K 0.01%
+2,180
New +$178K
INTU icon
382
Intuit
INTU
$89B
$181K 0.01%
694
+205
+42% +$53.6K
TIP icon
383
iShares TIPS Bond ETF
TIP
$14.7B
$180K 0.01%
1,550
-29
-2% -$3.37K
AON icon
384
Aon
AON
$76B
$179K 0.01%
860
-16
-2% -$3.17K
USFR
385
DELISTED
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
$179K 0.01%
7,179
-124,068
-95% -$3.09M
PDN icon
386
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
$366M
$178K 0.01%
5,599
-659
-11% -$20.3K
AMTD
387
DELISTED
TD Ameritrade Holding Corp
AMTD
$178K 0.01%
+3,592
New +$156K
OUSM icon
388
ALPS O'Shares US Small-Cap Quality Dividend ETF
OUSM
$885M
$177K 0.01%
6,010
– –
SGEN
389
DELISTED
Seagen Inc. Common Stock
SGEN
$175K 0.01%
+1,532
New +$162K
JSMD icon
390
Janus Henderson Small/Mid Cap Growth Alpha ETF
JSMD
$1.1B
$174K 0.01%
3,630
– –
IAT icon
391
iShares US Regional Banks ETF
IAT
$678M
$172K 0.01%
3,380
-793
-19% -$38.7K
MBB icon
392
iShares MBS ETF
MBB
$39.1B
$172K 0.01%
1,596
-319
-17% -$34.5K
POCT icon
393
Innovator US Equity Power Buffer ETF October
POCT
$973M
$172K 0.01%
+6,841
New +$171K
NULV icon
394
Nuveen ESG Large-Cap Value ETF
NULV
$2.27B
$171K 0.01%
5,229
– –
USB icon
395
US Bancorp
USB
$99.6B
$170K 0.01%
2,880
-728
-20% -$42.1K
VHT icon
396
Vanguard Health Care ETF
VHT
$18.7B
$170K 0.01%
889
-70
-7% -$12.6K
FRN
397
DELISTED
Invesco Frontier Markets ETF
FRN
$170K 0.01%
11,944
– –
MLM icon
398
Martin Marietta Materials
MLM
$33B
$169K 0.01%
605
+201
+50% +$53.6K
VDC icon
399
Vanguard Consumer Staples ETF
VDC
$7.97B
$168K 0.01%
1,045
– –
MPC icon
400
Marathon Petroleum
MPC
$83.7B
$167K 0.01%
2,783
+779
+39% +$48.7K
14 15
16
17 18

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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.