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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
ZTS icon
426
Zoetis
ZTS
$30B
$146K 0.01%
1,103
-797
-42% -$99K
ATO icon
427
Atmos Energy
ATO
$28.8B
$145K 0.01%
1,299
– –
NOBL icon
428
ProShares S&P 500 Dividend Aristocrats ETF
NOBL
$11.9B
$145K 0.01%
3,844
+2,336
+155% +$85.7K
IWO icon
429
iShares Russell 2000 Growth ETF
IWO
$15B
$142K 0.01%
664
+73
+12% +$14.8K
RRC icon
430
Range Resources
RRC
$8.95B
$142K 0.01%
29,482
+6,308
+27% +$25.4K
EEM icon
431
iShares MSCI Emerging Markets ETF
EEM
$30B
$141K 0.01%
3,145
+2,414
+330% +$104K
IDV icon
432
iShares International Select Dividend ETF
IDV
$8.57B
$140K 0.01%
4,199
+861
+26% +$27.7K
NUAG icon
433
Nuveen Enhanced Yield US Aggregate Bond ETF
NUAG
$96.7M
$140K 0.01%
5,716
– –
CNI icon
434
Canadian National Railway
CNI
$76.6B
$137K 0.01%
1,523
– –
PTMC icon
435
Pacer Trendpilot US Mid Cap ETF
PTMC
$405M
$137K 0.01%
4,460
-3,100
-41% -$92.6K
BOTZ icon
436
Global X Robotics & Artificial Intelligence ETF
BOTZ
$3.57B
$136K 0.01%
6,249
+387
+7% +$8.17K
ESG icon
437
FlexShares STOXX US ESG Select Index Fund
ESG
$137M
$136K 0.01%
1,770
– –
RWJ icon
438
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.1B
$136K 0.01%
6,027
-100,893
-94% -$2.2M
ARKF icon
439
ARK Blockchain & Fintech Innovation ETF
ARKF
$761M
$135K 0.01%
5,648
-302
-5% -$6.91K
IGC icon
440
IGC Pharma
IGC
$26.8M
$135K 0.01%
215,000
– –
XLP icon
441
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.7B
$134K 0.01%
2,142
-202
-9% -$12.4K
CI icon
442
Cigna
CI
$74.6B
$133K 0.01%
653
-66
-9% -$12.1K
HSIC icon
443
Henry Schein
HSIC
$9.82B
$133K 0.01%
2,000
– –
IYG icon
444
iShares US Financial Services ETF
IYG
$2.2B
$132K 0.01%
2,625
– –
NTAP icon
445
NetApp
NTAP
$37.2B
$132K 0.01%
2,131
-31
-1% -$1.81K
RDS.B
446
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
$132K 0.01%
2,206
-22
-1% -$1.29K
BIIB icon
447
Biogen
BIIB
$30.7B
$131K 0.01%
443
-12
-3% -$3.33K
FLTR icon
448
VanEck IG Floating Rate ETF
FLTR
$3.04B
$131K 0.01%
5,212
– –
LAMR icon
449
Lamar Advertising Co
LAMR
$16.3B
$131K 0.01%
1,473
– –
STZ icon
450
Constellation Brands
STZ
$23.2B
$131K 0.01%
692
-240
-26% -$45.3K
16 17
18
19 20

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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.