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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RIO icon
501
Rio Tinto
RIO
$164B
$104K 0.01%
2,014
-209
-9% -$11.3K
BIV icon
502
Vanguard Intermediate-Term Bond ETF
BIV
$28.9B
$103K 0.01%
1,181
+66
+6% +$5.77K
CB icon
503
Chubb
CB
$135B
$103K 0.01%
639
-18
-3% -$2.79K
LHX icon
504
L3Harris
LHX
$53.4B
$103K 0.01%
494
+82
+20% +$16.8K
MJ icon
505
Amplify Alternative Harvest ETF
MJ
$105M
$103K 0.01%
414
+19
+5% +$6.13K
IDV icon
506
iShares International Select Dividend ETF
IDV
$8.57B
$102K 0.01%
3,338
-1,314
-28% -$39.7K
JCI icon
507
Johnson Controls International
JCI
$92.2B
$102K 0.01%
2,326
-147
-6% -$6.22K
L icon
508
Loews
L
$23.6B
$102K 0.01%
2,000
– –
VOE icon
509
Vanguard Morningstar Mid-Cap Value ETF
VOE
$24.2B
$102K 0.01%
903
-157
-15% -$17.4K
FIS icon
510
Fidelity National Information Services
FIS
$22.1B
$100K 0.01%
756
+1
+0.1% +$133
SPXE icon
511
ProShares S&P 500 ex-Energy ETF
SPXE
$87.6M
$100K 0.01%
3,174
-1,586
-33% -$49.8K
MMP
512
DELISTED
Magellan Midstream Partners, L.P.
MMP
$100K 0.01%
1,514
– –
ALTY icon
513
Global X Alternative Income ETF
ALTY
$45.5M
$99K 0.01%
6,671
– –
AWK icon
514
American Water Works
AWK
$26.9B
$99K 0.01%
801
+101
+14% +$12.2K
DLN icon
515
WisdomTree US LargeCap Dividend Fund
DLN
$6.39B
$99K 0.01%
2,000
– –
STAG icon
516
STAG Industrial
STAG
$7.19B
$99K 0.01%
3,368
-453
-12% -$13.4K
TIPZ icon
517
PIMCO Broad US TIPS Index Exchange-Traded Fund
TIPZ
$88.4M
$99K 0.01%
1,658
– –
VEA icon
518
Vanguard FTSE Developed Markets ETF
VEA
$237B
$99K 0.01%
2,425
-1,663
-41% -$67.9K
CASY icon
519
Casey's General Stores
CASY
$30.9B
$97K 0.01%
605
– –
GWW icon
520
W.W. Grainger
GWW
$60.2B
$97K 0.01%
328
-133
-29% -$37K
VIDI icon
521
Vident International Equity Strategy
VIDI
$447M
$97K 0.01%
4,180
– –
ANSS
522
DELISTED
Ansys
ANSS
$95K 0.01%
430
-11
-2% -$2.32K
FHN icon
523
First Horizon
FHN
$12.1B
$93K 0.01%
5,751
+159
+3% +$2.51K
RPM icon
524
RPM International
RPM
$15B
$92K 0.01%
1,350
– –
ULTA icon
525
Ulta Beauty
ULTA
$24.3B
$92K 0.01%
369
+23
+7% +$7.06K
19 20
21
22 23

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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.