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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NHI icon
401
National Health Investors
NHI
$3.65B
$165K 0.01%
2,013
– –
DTEC icon
402
ALPS Disruptive Technologies ETF
DTEC
$75.7M
$164K 0.01%
5,675
-2,946
-34% -$87.6K
NULV icon
403
Nuveen ESG Large-Cap Value ETF
NULV
$2.27B
$163K 0.01%
5,229
– –
VDC icon
404
Vanguard Consumer Staples ETF
VDC
$7.97B
$163K 0.01%
1,045
– –
FRN
405
DELISTED
Invesco Frontier Markets ETF
FRN
$162K 0.01%
11,944
– –
GPN icon
406
Global Payments
GPN
$22.8B
$161K 0.01%
1,014
+34
+3% +$5.55K
VHT icon
407
Vanguard Health Care ETF
VHT
$18.7B
$160K 0.01%
959
-257
-21% -$44K
UUP icon
408
Invesco DB US Dollar Index Bullish Fund
UUP
$413M
$159K 0.01%
5,890
+484
+9% +$12.9K
DNL icon
409
WisdomTree Global ex-U.S. Quality Growth Fund
DNL
$501M
$158K 0.01%
5,432
+2,994
+123% +$86.3K
JSMD icon
410
Janus Henderson Small/Mid Cap Growth Alpha ETF
JSMD
$1.1B
$158K 0.01%
3,630
– –
HSCZ icon
411
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
$257M
$157K 0.01%
5,400
– –
VXUS icon
412
Vanguard Total International Stock ETF
VXUS
$163B
$157K 0.01%
3,043
+2,740
+904% +$141K
CTAS icon
413
Cintas
CTAS
$81.3B
$156K 0.01%
2,336
– –
WTRG icon
414
Essential Utilities
WTRG
$11.4B
$156K 0.01%
3,495
– –
IMKTA icon
415
Ingles Markets
IMKTA
$1.67B
$155K 0.01%
4,000
– –
THFF icon
416
First Financial Corp
THFF
$969M
$155K 0.01%
3,584
– –
BAH icon
417
Booz Allen Hamilton
BAH
$9.15B
$154K 0.01%
2,171
-712
-25% -$50.4K
UL icon
418
Unilever
UL
$136B
$153K 0.01%
2,275
– –
MGC icon
419
Vanguard Morningstar Mega Cap ETF
MGC
$10.4B
$152K 0.01%
1,480
– –
PLD icon
420
Prologis
PLD
$133B
$152K 0.01%
1,786
-227
-11% -$18.8K
IJJ icon
421
iShares S&P Mid-Cap 400 Value ETF
IJJ
$9.03B
$151K 0.01%
1,892
– –
JEF icon
422
Jefferies Financial Group
JEF
$13.1B
$151K 0.01%
8,600
-717
-8% -$12.8K
LNT icon
423
Alliant Energy
LNT
$18B
$149K 0.01%
2,765
-422
-13% -$21.7K
QED
424
DELISTED
IQ Hedge Event-Driven Tracker ETF
QED
$149K 0.01%
6,940
+410
+6% +$8.79K
ATO icon
425
Atmos Energy
ATO
$28.8B
$148K 0.01%
1,299
– –
15 16
17
18 19

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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.