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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
XEL icon
451
Xcel Energy
XEL
$48.8B
$131K 0.01%
2,065
– –
GS icon
452
Goldman Sachs
GS
$303B
$129K 0.01%
563
+172
+44% +$37.3K
PREF icon
453
Principal Spectrum Preferred Securities Active ETF
PREF
$1.78B
$129K 0.01%
6,445
+1,020
+19% +$20.5K
PEGA icon
454
Pegasystems
PEGA
$5.38B
$128K 0.01%
3,226
+12
+0.4% +$454
MCHP icon
455
Microchip Technology
MCHP
$46B
$127K 0.01%
2,434
– –
XLV icon
456
State Street Health Care Select Sector SPDR ETF
XLV
$43.3B
$127K 0.01%
1,247
– –
IMCB icon
457
iShares Morningstar Mid-Cap ETF
IMCB
$1.7B
$126K 0.01%
2,420
– –
NFLX icon
458
Netflix
NFLX
$309B
$126K 0.01%
3,900
-3,460
-47% -$103K
IWR icon
459
iShares Russell Mid-Cap ETF
IWR
$57.5B
$125K 0.01%
2,101
+1
+0% +$57
VTIP icon
460
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.8B
$125K 0.01%
2,547
– –
ITM icon
461
VanEck Intermediate Muni ETF
ITM
$2.13B
$124K 0.01%
2,485
– –
IXJ icon
462
iShares Global Healthcare ETF
IXJ
$4.19B
$124K 0.01%
1,814
– –
SPTS icon
463
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
$6.11B
$124K 0.01%
4,167
-224,647
-98% -$6.74M
MSI icon
464
Motorola Solutions
MSI
$77.4B
$123K 0.01%
764
+393
+106% +$64.7K
KHC icon
465
Kraft Heinz
KHC
$30B
$121K 0.01%
3,794
+57
+2% +$1.73K
NTR icon
466
Nutrien
NTR
$30.7B
$121K 0.01%
2,525
-147
-6% -$7.1K
OGE icon
467
OGE Energy
OGE
$9.71B
$120K 0.01%
2,711
– –
DGRE icon
468
WisdomTree Trust WisdomTree Emerging Markets Quality Dividend Growth Fund
DGRE
$146M
$119K 0.01%
4,564
– –
DOL icon
469
WisdomTree True Developed International Fund
DOL
$845M
$119K 0.01%
2,432
– –
CINF icon
470
Cincinnati Financial
CINF
$27.1B
$118K 0.01%
1,131
– –
PPA icon
471
Invesco Aerospace & Defense ETF
PPA
$8.7B
$118K 0.01%
1,738
-234
-12% -$15.9K
SCHO icon
472
Schwab Short-Term US Treasury ETF
SCHO
$12.9B
$118K 0.01%
4,688
-7,102
-60% -$179K
OHI icon
473
Omega Healthcare
OHI
$14.7B
$117K 0.01%
2,769
– –
QED
474
DELISTED
IQ Hedge Event-Driven Tracker ETF
QED
$115K 0.01%
5,323
-1,617
-23% -$35.1K
RACE icon
475
Ferrari
RACE
$72.5B
$113K 0.01%
688
+223
+48% +$36.1K
17 18
19
20 21

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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.