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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
VEA icon
476
Vanguard FTSE Developed Markets ETF
VEA
$237B
$112K 0.01%
2,548
+123
+5% +$5.25K
ESNT icon
477
Essent Group
ESNT
$6.33B
$111K 0.01%
2,144
-556
-21% -$29K
GWW icon
478
W.W. Grainger
GWW
$60.2B
$111K 0.01%
328
– –
ANSS
479
DELISTED
Ansys
ANSS
$109K 0.01%
425
-5
-1% -$1.18K
EMB icon
480
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$15B
$109K 0.01%
957
-100
-9% -$11.3K
ELV icon
481
Elevance Health
ELV
$85.5B
$107K 0.01%
357
-15
-4% -$4.13K
HEFA icon
482
iShares Currency Hedged MSCI EAFE ETF
HEFA
$7.76B
$107K 0.01%
3,510
– –
VOE icon
483
Vanguard Morningstar Mid-Cap Value ETF
VOE
$24.2B
$107K 0.01%
903
– –
VTC icon
484
Vanguard Total Corporate Bond ETF
VTC
$1.71B
$106K 0.01%
1,200
– –
ARCC icon
485
Ares Capital
ARCC
$14.4B
$105K 0.01%
5,654
– –
DLN icon
486
WisdomTree US LargeCap Dividend Fund
DLN
$6.39B
$105K 0.01%
2,000
– –
VIDI icon
487
Vident International Equity Strategy
VIDI
$447M
$105K 0.01%
4,180
– –
L icon
488
Loews
L
$23.6B
$104K 0.01%
2,000
– –
SRE icon
489
Sempra
SRE
$54.8B
$104K 0.01%
1,378
-144
-9% -$10.6K
VCR icon
490
Vanguard Consumer Discretionary ETF
VCR
$6.18B
$104K 0.01%
553
-91
-14% -$16.7K
TLT icon
491
iShares 20+ Year Treasury Bond ETF
TLT
$40.9B
$103K 0.01%
767
+20
+3% +$2.78K
CB icon
492
Chubb
CB
$135B
$101K 0.01%
654
+15
+2% +$2.29K
RIO icon
493
Rio Tinto
RIO
$164B
$101K 0.01%
1,711
-303
-15% -$16.4K
VMC icon
494
Vulcan Materials
VMC
$36.9B
$101K 0.01%
706
+106
+18% +$15.2K
XLU icon
495
State Street Utilities Select Sector SPDR ETF
XLU
$22.7B
$101K 0.01%
3,144
-3,274
-51% -$104K
TT icon
496
Trane Technologies
TT
$106B
$100K 0.01%
755
+100
+15% +$12.7K
NLY icon
497
Annaly Capital Management
NLY
$17.4B
$99K 0.01%
2,635
-1,048
-28% -$38.2K
NYT icon
498
New York Times
NYT
$10.2B
$99K 0.01%
+3,094
New +$96.1K
TIPZ icon
499
PIMCO Broad US TIPS Index Exchange-Traded Fund
TIPZ
$88.4M
$99K 0.01%
1,658
– –
ALTY icon
500
Global X Alternative Income ETF
ALTY
$45.5M
$98K 0.01%
6,671
– –
18 19
20
21 22

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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.