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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
SPTS icon
26
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
$6.11B
$6.87M 0.6%
228,814
-140,143
-38% -$4.2M
IOO icon
27
iShares Global 100 ETF
IOO
$9.23B
$6.83M 0.6%
138,195
+151
+0.1% +$7.36K
CSB icon
28
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
$273M
$6.66M 0.58%
149,943
+77,895
+108% +$3.4M
IJR icon
29
iShares Core S&P Small-Cap ETF
IJR
$112B
$6.63M 0.58%
85,246
-1,146
-1% -$88.7K
PXH icon
30
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.96B
$6.33M 0.55%
315,243
+5,449
+2% +$112K
AXP icon
31
American Express
AXP
$230B
$5.62M 0.49%
47,480
-20
-0% -$2.45K
LOW icon
32
Lowe's Companies
LOW
$125B
$5.22M 0.46%
47,444
-592
-1% -$62.5K
PG icon
33
Procter & Gamble
PG
$338B
$4.99M 0.44%
40,154
-934
-2% -$110K
BAC icon
34
Bank of America
BAC
$441B
$4.52M 0.39%
154,867
+385
+0.2% +$11.1K
GSLC icon
35
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
$15.5B
$4.48M 0.39%
74,876
-945
-1% -$56.3K
AGZD icon
36
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
$136M
$4.37M 0.38%
182,958
+36,068
+25% +$862K
AGGY icon
37
WisdomTree Yield Enhanced US Aggregate Bond Fund
AGGY
$925M
$4.36M 0.38%
83,422
+19,146
+30% +$995K
ENB icon
38
Enbridge
ENB
$112B
$4.09M 0.36%
116,496
-3,498
-3% -$121K
MNA icon
39
IQ ARB Merger Arbitrage ETF
MNA
$253M
$4.06M 0.35%
126,577
-3,824
-3% -$122K
DIS icon
40
Walt Disney
DIS
$181B
$4.04M 0.35%
31,033
+200
+0.6% +$27.7K
T icon
41
AT&T
T
$163B
$3.89M 0.34%
136,064
+17,026
+14% +$451K
CSCO icon
42
Cisco
CSCO
$478B
$3.73M 0.33%
75,528
+7,885
+12% +$410K
PULS icon
43
PGIM Ultra Short Bond ETF
PULS
$18.3B
$3.71M 0.32%
73,954
+73,754
+36,877% +$3.7M
MDYG icon
44
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.95B
$3.66M 0.32%
68,140
+57,121
+518% +$3.08M
KO icon
45
Coca-Cola
KO
$374B
$3.48M 0.3%
63,855
-5,421
-8% -$290K
PEP icon
46
PepsiCo
PEP
$190B
$3.47M 0.3%
25,322
-219
-0.9% -$29.1K
FLOT icon
47
iShares Floating Rate Bond ETF
FLOT
$10.3B
$3.4M 0.3%
66,666
+4,673
+8% +$238K
SHY icon
48
iShares 1-3 Year Treasury Bond ETF
SHY
$25.1B
$3.32M 0.29%
39,129
-2,028
-5% -$172K
USFR
49
DELISTED
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
$3.29M 0.29%
131,247
-213,851
-62% -$5.36M
CVX icon
50
Chevron
CVX
$366B
$3.27M 0.29%
27,544
+2,066
+8% +$251K
1
2
3 4 5

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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.