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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XLC icon
501
State Street Communication Services Select Sector SPDR ETF
XLC
$22.5B
$109K 0.01%
1,620
+629
+63% +$40K
BMI icon
502
Badger Meter
BMI
$3.95B
$108K 0.01%
1,150
– –
ECL icon
503
Ecolab
ECL
$79.9B
$108K 0.01%
502
-23
-4% -$4.8K
IMCB icon
504
iShares Morningstar Mid-Cap ETF
IMCB
$1.71B
$108K 0.01%
1,860
– –
TIPZ icon
505
PIMCO Broad US TIPS Index Exchange-Traded Fund
TIPZ
$88.2M
$108K 0.01%
1,658
– –
DLN icon
506
WisdomTree US LargeCap Dividend Fund
DLN
$6.4B
$107K 0.01%
2,000
– –
FDUS icon
507
Fidus Investment
FDUS
$752M
$107K 0.01%
8,190
– –
NTR icon
508
Nutrien
NTR
$32.1B
$106K 0.01%
2,212
+1
+0% +$44
POCT icon
509
Innovator US Equity Power Buffer ETF October
POCT
$972M
$106K 0.01%
3,819
-1,950
-34% -$52.9K
HEI icon
510
HEICO Corp
HEI
$50.9B
$105K 0.01%
798
-3
-0.4% -$366
PDN icon
511
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
$364M
$105K 0.01%
3,065
– –
VT icon
512
Vanguard Total World Stock ETF
VT
$81B
$104K 0.01%
1,125
– –
ACES icon
513
ALPS Clean Energy ETF
ACES
$125M
$103K 0.01%
1,291
– –
SCCO icon
514
Southern Copper
SCCO
$163B
$103K 0.01%
1,740
+1,012
+139% +$51.5K
BN icon
515
Brookfield
BN
$110B
$100K 0.01%
4,567
+12
+0.3% +$240
FISV
516
Fiserv Inc
FISV
$28B
$99K 0.01%
874
+85
+11% +$9.16K
FXI icon
517
iShares China Large-Cap ETF
FXI
$4.25B
$99K 0.01%
+2,133
New +$97.4K
OHI icon
518
Omega Healthcare
OHI
$13.9B
$99K 0.01%
2,743
-26
-0.9% -$881
CINF icon
519
Cincinnati Financial
CINF
$26.7B
$98K 0.01%
1,131
– –
MXIM
520
DELISTED
Maxim Integrated Products
MXIM
$98K 0.01%
1,112
– –
ARCC icon
521
Ares Capital
ARCC
$14.4B
$97K 0.01%
5,754
-500
-8% -$7.75K
IYG icon
522
iShares US Financial Services ETF
IYG
$2.22B
$97K 0.01%
1,950
– –
IYK icon
523
iShares US Consumer Staples ETF
IYK
$1.42B
$96K 0.01%
1,671
+6
+0.4% +$318
LBRDK icon
524
Liberty Broadband Class C
LBRDK
$5.29B
$96K 0.01%
609
+219
+56% +$33.3K
KARS icon
525
KraneShares Electric Vehicles and Future Mobility Index ETF
KARS
$80.3M
$94K 0.01%
2,355
– –
19 20
21
22 23

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.