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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FTC icon
501
First Trust Large Cap Growth AlphaDEX Fund
FTC
$1.39B
$51K 0.01%
730
– –
NWL icon
502
Newell Brands
NWL
$2.54B
$51K 0.01%
2,559
– –
AVA icon
503
Avista
AVA
$3.2B
$50K 0.01%
1,000
– –
FNCL icon
504
Fidelity MSCI Financials Index ETF
FNCL
$2.41B
$50K 0.01%
1,260
– –
INDA icon
505
iShares MSCI India ETF
INDA
$6.62B
$50K 0.01%
1,560
– –
NOBL icon
506
ProShares S&P 500 Dividend Aristocrats ETF
NOBL
$11.9B
$50K 0.01%
1,508
+1,322
+711% +$43.4K
AOR icon
507
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.73B
$49K 0.01%
1,100
– –
DOV icon
508
Dover
DOV
$28.4B
$49K 0.01%
557
– –
IWS icon
509
iShares Russell Mid-Cap Value ETF
IWS
$15.9B
$49K 0.01%
544
– –
HSBC.PRA
510
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$49K 0.01%
1,945
– –
BTZ icon
511
BlackRock Credit Allocation Income Trust
BTZ
$956M
$48K 0.01%
4,000
– –
CC icon
512
Chemours
CC
$2.27B
$48K 0.01%
1,227
– –
HR icon
513
Healthcare Realty
HR
$6.77B
$48K 0.01%
1,806
– –
PEBK icon
514
Peoples Bancorp of North Carolina
PEBK
$227M
$48K 0.01%
1,698
– –
BXC icon
515
BlueLinx
BXC
$710M
$47K 0.01%
1,500
– –
COHR icon
516
Coherent
COHR
$68.5B
$47K 0.01%
1,000
– –
DG icon
517
Dollar General
DG
$27B
$47K 0.01%
431
– –
ECL icon
518
Ecolab
ECL
$79.1B
$47K 0.01%
305
-11
-3% -$1.63K
LHX icon
519
L3Harris
LHX
$53.8B
$47K 0.01%
279
+10
+4% +$1.59K
PID icon
520
Invesco International Dividend Achievers ETF
PID
$913M
$47K 0.01%
3,000
– –
PKB icon
521
Invesco Building & Construction ETF
PKB
$396M
$47K 0.01%
1,600
– –
YORW icon
522
York Water
YORW
$512M
$47K 0.01%
1,575
– –
PGZ
523
Principal Real Estate Income Fund
PGZ
$68.4M
$46K ﹤0.01%
+2,700
New +$48.5K
UNM icon
524
Unum
UNM
$14.4B
$46K ﹤0.01%
1,200
– –
MIC
525
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$46K ﹤0.01%
+1,000
New +$45.7K
19 20
21
22 23

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6M
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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.