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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
DOC icon
501
Healthpeak Properties
DOC
$14.8B
$46K 0.01%
1,646
-500
-23% -$13.8K
WEC icon
502
WEC Energy
WEC
$35.1B
$46K 0.01%
677
– –
BMS
503
DELISTED
Bemis
BMS
$46K 0.01%
1,000
-200
-17% -$9.32K
FXL icon
504
First Trust Technology AlphaDEX Fund
FXL
$2.79B
$45K 0.01%
854
– –
ROK icon
505
Rockwell Automation
ROK
$49B
$45K 0.01%
300
-426
-59% -$71.1K
TTE icon
506
TotalEnergies
TTE
$190B
$45K 0.01%
76,965
+183
+0.2% +$114
ECL icon
507
Ecolab
ECL
$79.9B
$44K ﹤0.01%
305
– –
EOG icon
508
EOG Resources
EOG
$70.7B
$44K ﹤0.01%
473
– –
PEBK icon
509
Peoples Bancorp of North Carolina
PEBK
$229M
$44K ﹤0.01%
1,698
– –
SAP icon
510
SAP
SAP
$238B
$44K ﹤0.01%
451
– –
TRP icon
511
TC Energy
TRP
$65.9B
$44K ﹤0.01%
1,131
– –
VGIT icon
512
Vanguard Intermediate-Term Treasury ETF
VGIT
$42.4B
$44K ﹤0.01%
700
– –
PID icon
513
Invesco International Dividend Achievers ETF
PID
$919M
$43K ﹤0.01%
3,000
– –
ALB icon
514
Albemarle
ALB
$15.5B
$42K ﹤0.01%
551
+4
+0.7% +$377
DLR icon
515
Digital Realty Trust
DLR
$71.7B
$42K ﹤0.01%
400
-178
-31% -$19.7K
FTC icon
516
First Trust Large Cap Growth AlphaDEX Fund
FTC
$1.38B
$42K ﹤0.01%
730
– –
IWS icon
517
iShares Russell Mid-Cap Value ETF
IWS
$15.9B
$42K ﹤0.01%
544
– –
OLED icon
518
Universal Display
OLED
$4.19B
$42K ﹤0.01%
+500
New +$50.5K
XLP icon
519
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.7B
$42K ﹤0.01%
839
+44
+6% +$2.39K
AVA icon
520
Avista
AVA
$3.24B
$41K ﹤0.01%
1,000
– –
MS icon
521
Morgan Stanley
MS
$340B
$41K ﹤0.01%
1,006
-340
-25% -$14.8K
RWR icon
522
State Street SPDR Dow Jones REIT ETF
RWR
$1.89B
$41K ﹤0.01%
482
– –
TAN icon
523
Invesco Solar ETF
TAN
$1.38B
$41K ﹤0.01%
2,120
– –
MSI icon
524
Motorola Solutions
MSI
$77.4B
$40K ﹤0.01%
350
– –
VMBS icon
525
Vanguard Mortgage-Backed Securities ETF
VMBS
$15.7B
$40K ﹤0.01%
778
+205
+36% +$10.4K
19 20
21
22 23

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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.