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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
-12.12%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$899M
AUM Growth
-$46.6M
Cap. Flow
+$64.5M
Cap. Flow %
7.17%
Top 10 Hldgs %
51.54%
Holding
1,465
New
87
Increased
269
Reduced
314
Closed
79

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$95.8M
2
ARKK icon
ARK Innovation ETF
ARKK
+$3.83M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.05M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$2.76M
5
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$2.26M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$26.6M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.04M
3
RTX icon
RTX Corp
RTX
+$4.17M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.03M
5
RNRG icon
Global X Renewable Energy Producers ETF
RNRG
+$3.43M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Technology 5.12%
3 Healthcare 3.27%
4 Energy 2.86%
5 Consumer Staples 2.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPLV icon
26
Invesco S&P 500 Low Volatility ETF
SPLV
$7.23B
$6.62M 0.74%
142,586
-995
-0.7% -$48.2K
IOO icon
27
iShares Global 100 ETF
IOO
$9.24B
$5.92M 0.66%
137,158
+14,064
+11% +$641K
IJH icon
28
iShares Core S&P Mid-Cap ETF
IJH
$127B
$4.9M 0.55%
144,035
+16,325
+13% +$596K
PRFZ icon
29
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.88B
$4.68M 0.52%
197,695
+26,295
+15% +$668K
AXP icon
30
American Express
AXP
$230B
$4.58M 0.51%
46,661
-600
-1% -$62.8K
LOW icon
31
Lowe's Companies
LOW
$124B
$4.38M 0.49%
45,750
-1,272
-3% -$123K
PXH icon
32
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.96B
$4.14M 0.46%
203,768
+101,046
+98% +$2.04M
MNA icon
33
IQ ARB Merger Arbitrage ETF
MNA
$253M
$4.13M 0.46%
129,807
-20,494
-14% -$651K
DD icon
34
DuPont de Nemours
DD
$19.6B
$4.03M 0.45%
29,035
+146
+0.5% +$21K
BAC icon
35
Bank of America
BAC
$440B
$3.81M 0.42%
149,015
+5,090
+4% +$138K
ENB icon
36
Enbridge
ENB
$113B
$3.68M 0.41%
109,771
-5,030
-4% -$162K
ARKG icon
37
ARK Genomic Revolution ETF
ARKG
$1.7B
$3.65M 0.41%
133,679
+97,784
+272% +$2.76M
VCSH icon
38
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$3.64M 0.41%
46,789
-28,247
-38% -$2.2M
PG icon
39
Procter & Gamble
PG
$338B
$3.64M 0.4%
39,485
-25
-0.1% -$2.23K
GSLC icon
40
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
$15.5B
$3.56M 0.4%
69,742
+20,164
+41% +$1.09M
BNY
41
Bank of New York Mellon
BNY
$107B
$3.33M 0.37%
69,579
-3,474
-5% -$169K
EELV icon
42
Invesco S&P Emerging Markets Low Volatility ETF
EELV
$428M
$3.04M 0.34%
131,430
-7,348
-5% -$172K
VXF icon
43
Vanguard Extended Market ETF
VXF
$31.7B
$3.01M 0.34%
29,165
+5,810
+25% +$637K
DIS icon
44
Walt Disney
DIS
$181B
$2.84M 0.32%
25,695
-116
-0.4% -$13.2K
RWJ icon
45
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.1B
$2.77M 0.31%
135,810
-10,878
-7% -$240K
EFAV icon
46
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.51B
$2.77M 0.31%
40,763
+32,388
+387% +$2.23M
MLPX icon
47
Global X MLP & Energy Infrastructure ETF
MLPX
$3.58B
$2.76M 0.31%
77,071
+10,758
+16% +$396K
AGZD icon
48
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
$136M
$2.64M 0.29%
111,408
-18,442
-14% -$440K
CSCO icon
49
Cisco
CSCO
$478B
$2.63M 0.29%
60,937
+1,259
+2% +$57.6K
PEP icon
50
PepsiCo
PEP
$189B
$2.63M 0.29%
24,019
+7
+0% +$789
1
2
3 4 5

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NFG
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6M
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RFA
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CCT
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Carroll Financial Associates's Q4 2018 Portfolio in Review

As of Q4 2018, Carroll Financial Associates held 1,465 positions worth $899M, down 4.9% from $945M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Carroll Financial Associates deployed $64.5M of net new capital in Q4 2018, opening 87 new positions and adding to 269 existing holdings. Its largest new stake was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, down from 8% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $26.6M trimmed.

  • Carroll Financial Associates's largest Q4 2018 buy was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.
  • Carroll Financial Associates added most to ARK Innovation ETF in Q4 2018, an estimated $3.83M increase.
  • Carroll Financial Associates's biggest Q4 2018 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $26.6M.
  • Carroll Financial Associates fully exited Aetna Inc in Q4 2018, selling an estimated $1.34M.
  • Carroll Financial Associates's ten largest holdings make up 52% of its $899M portfolio in Q4 2018.
  • Carroll Financial Associates opened 87 new positions and closed 79 in Q4 2018.
  • Carroll Financial Associates's portfolio value fell 4.9% quarter-over-quarter to $899M.

Based on Carroll Financial Associates's 13F filing for Q4 2018, filed 11 Jan 2019.