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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RSP icon
26
Invesco S&P 500 Equal Weight ETF
RSP
$99.1B
$8.23M 0.55%
64,514
+701
+1% +$83.4K
IOO icon
27
iShares Global 100 ETF
IOO
$9.5B
$8.22M 0.55%
130,707
+142
+0.1% +$8.44K
MSTB icon
28
LHA Market State Tactical Beta ETF
MSTB
$200M
$7.98M 0.53%
+294,973
New +$7.7M
AGGY icon
29
WisdomTree Yield Enhanced US Aggregate Bond Fund
AGGY
$926M
$7.86M 0.52%
146,437
+21,274
+17% +$1.14M
ISTB icon
30
iShares Core 1-5 Year USD Bond ETF
ISTB
$5.13B
$7.54M 0.5%
145,987
+42,176
+41% +$2.17M
LOW icon
31
Lowe's Companies
LOW
$125B
$7.43M 0.49%
46,293
-956
-2% -$155K
JPM icon
32
JPMorgan Chase
JPM
$950B
$7.27M 0.48%
57,236
+332
+0.6% +$37.1K
VUG icon
33
Vanguard Morningstar Growth ETF
VUG
$230B
$7.03M 0.47%
166,464
+17,172
+12% +$685K
AMZN icon
34
Amazon
AMZN
$2.96T
$6.92M 0.46%
42,520
+1,280
+3% +$204K
DGRO icon
35
iShares Core Dividend Growth ETF
DGRO
$43.6B
$6.59M 0.44%
146,950
-5,797
-4% -$246K
XOM icon
36
ExxonMobil
XOM
$634B
$6.34M 0.42%
153,799
-529
-0.3% -$19.8K
LSST
37
DELISTED
Natixis Loomis Sayles Short Duration Income ETF
LSST
$6.33M 0.42%
+247,124
New +$6.42M
PSEP icon
38
Innovator US Equity Power Buffer ETF September
PSEP
$841M
$6.2M 0.41%
222,113
-12,555
-5% -$341K
VIGI icon
39
Vanguard International Dividend Appreciation ETF
VIGI
$9.31B
$6.08M 0.4%
74,642
+1,699
+2% +$130K
PG icon
40
Procter & Gamble
PG
$339B
$6.02M 0.4%
43,285
+1,042
+2% +$146K
SPMD icon
41
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.9B
$5.9M 0.39%
146,066
+49,218
+51% +$1.83M
QQQ icon
42
Invesco QQQ Trust
QQQ
$481B
$5.88M 0.39%
18,727
+1,122
+6% +$329K
GSEW icon
43
Goldman Sachs Equal Weight US Large Cap Equity ETF
GSEW
$2.04B
$5.71M 0.38%
98,737
-5,803
-6% -$314K
AXP icon
44
American Express
AXP
$230B
$5.66M 0.38%
46,781
+23
+0% +$2.55K
PFE icon
45
Pfizer
PFE
$153B
$5.55M 0.37%
150,810
-7,015
-4% -$257K
SCHX icon
46
Schwab US Large- Cap ETF
SCHX
$74.6B
$5.53M 0.37%
364,548
+13,128
+4% +$188K
VCSH icon
47
Vanguard Short-Term Corporate Bond ETF
VCSH
$45B
$5.52M 0.37%
66,283
-25,728
-28% -$2.13M
EJAN icon
48
Innovator Emerging Markets Power Buffer ETF January
EJAN
$147M
$5.47M 0.36%
182,190
+179,210
+6,014% +$5.1M
DIS icon
49
Walt Disney
DIS
$181B
$5.39M 0.36%
29,739
+168
+0.6% +$24.1K
SPEM icon
50
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17.7B
$5.25M 0.35%
124,441
+13,625
+12% +$541K
1
2
3 4 5

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.