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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
FLTR icon
451
VanEck IG Floating Rate ETF
FLTR
$3.04B
$131K 0.01%
5,212
-1,902
-27% -$47.9K
INTU icon
452
Intuit
INTU
$89B
$130K 0.01%
489
– –
FNV icon
453
Franco-Nevada
FNV
$46B
$129K 0.01%
1,422
– –
NLY icon
454
Annaly Capital Management
NLY
$17.4B
$129K 0.01%
3,683
-2,414
-40% -$87K
ESNT icon
455
Essent Group
ESNT
$6.33B
$128K 0.01%
2,700
-411
-13% -$19.7K
GM icon
456
General Motors
GM
$76.8B
$128K 0.01%
3,418
-952
-22% -$36.6K
ARKF icon
457
ARK Blockchain & Fintech Innovation ETF
ARKF
$761M
$127K 0.01%
5,950
-597
-9% -$13.2K
HSIC icon
458
Henry Schein
HSIC
$9.82B
$127K 0.01%
2,000
-68
-3% -$4.39K
ESG icon
459
FlexShares STOXX US ESG Select Index Fund
ESG
$137M
$125K 0.01%
1,770
– –
ITM icon
460
VanEck Intermediate Muni ETF
ITM
$2.13B
$125K 0.01%
2,485
– –
VTIP icon
461
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.8B
$124K 0.01%
2,547
– –
OGE icon
462
OGE Energy
OGE
$9.71B
$123K 0.01%
2,711
– –
LIN icon
463
Linde
LIN
$226B
$121K 0.01%
627
+11
+2% +$2.13K
MPC icon
464
Marathon Petroleum
MPC
$83.7B
$121K 0.01%
2,004
-33
-2% -$1.74K
LAMR icon
465
Lamar Advertising Co
LAMR
$16.3B
$120K 0.01%
1,473
– –
EMB icon
466
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$15B
$119K 0.01%
1,057
+4
+0.4% +$455
IMCB icon
467
iShares Morningstar Mid-Cap ETF
IMCB
$1.7B
$119K 0.01%
2,420
– –
IYG icon
468
iShares US Financial Services ETF
IYG
$2.2B
$119K 0.01%
2,625
– –
XLE icon
469
State Street Energy Select Sector SPDR ETF
XLE
$37.6B
$119K 0.01%
4,040
+356
+10% +$10.8K
VIS icon
470
Vanguard Industrials ETF
VIS
$8.48B
$118K 0.01%
808
– –
BOTZ icon
471
Global X Robotics & Artificial Intelligence ETF
BOTZ
$3.57B
$117K 0.01%
5,862
+1,887
+47% +$36.9K
IWR icon
472
iShares Russell Mid-Cap ETF
IWR
$57.5B
$117K 0.01%
2,100
+1
+0% +$56
OHI icon
473
Omega Healthcare
OHI
$14.7B
$115K 0.01%
2,769
-150
-5% -$5.84K
VCR icon
474
Vanguard Consumer Discretionary ETF
VCR
$6.18B
$115K 0.01%
644
-201
-24% -$36.3K
IWO icon
475
iShares Russell 2000 Growth ETF
IWO
$15B
$113K 0.01%
591
-34
-5% -$6.74K
17 18
19
20 21

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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.