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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
VGK icon
476
Vanguard FTSE Europe ETF
VGK
$31B
$54K 0.01%
1,097
– –
WMB icon
477
Williams Companies
WMB
$87.5B
$54K 0.01%
2,242
-573
-20% -$14.3K
NLY icon
478
Annaly Capital Management
NLY
$17.1B
$53K 0.01%
1,344
– –
RGEN icon
479
Repligen
RGEN
$9.21B
$53K 0.01%
1,000
– –
FTV icon
480
Fortive
FTV
$18.6B
$52K 0.01%
1,219
-58
-5% -$2.72K
FV icon
481
First Trust Dorsey Wright Focus 5 ETF
FV
$3.79B
$52K 0.01%
2,008
– –
FULT icon
482
Fulton Financial
FULT
$4.59B
$51K 0.01%
3,166
– –
INDA icon
483
iShares MSCI India ETF
INDA
$6.6B
$51K 0.01%
1,560
– –
HYG icon
484
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.8B
$50K 0.01%
610
– –
NOC icon
485
Northrop Grumman
NOC
$82.3B
$50K 0.01%
203
-33
-14% -$9.12K
RDOG icon
486
ALPS REIT Dividend Dogs ETF
RDOG
$11.3M
$50K 0.01%
1,213
– –
HSBC.PRA
487
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$50K 0.01%
1,945
– –
AOR icon
488
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.73B
$49K 0.01%
1,185
+85
+8% +$3.64K
ICLR icon
489
Icon
ICLR
$12.7B
$49K 0.01%
401
– –
IJT icon
490
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.37B
$49K 0.01%
600
– –
MJ icon
491
Amplify Alternative Harvest ETF
MJ
$104M
$49K 0.01%
150
+6
+4% +$2.29K
VRSK icon
492
Verisk Analytics
VRSK
$23.6B
$49K 0.01%
452
+211
+88% +$24.7K
YORW icon
493
York Water
YORW
$510M
$49K 0.01%
1,575
– –
OIH icon
494
VanEck Oil Services ETF
OIH
$1.94B
$48K 0.01%
155
– –
STZ icon
495
Constellation Brands
STZ
$22.8B
$48K 0.01%
283
+161
+132% +$32K
APH icon
496
Amphenol
APH
$209B
$47K 0.01%
2,440
– –
FXH icon
497
First Trust Health Care AlphaDEX Fund
FXH
$1.11B
$47K 0.01%
690
– –
HR icon
498
Healthcare Realty
HR
$6.74B
$47K 0.01%
1,863
+57
+3% +$1.51K
RSPU icon
499
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
$529M
$47K 0.01%
+1,090
New +$49.5K
CPB icon
500
Campbell Soup
CPB
$6.72B
$46K 0.01%
1,387
-93
-6% -$3.52K
18 19
20
21 22

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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.