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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
(+9.9%)
Cap. Flow
+$39.5M
Cap. Flow
% of AUM
3.14%
Top 10 Holdings %
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Global X Adaptive US Factor ETF
AUSF
|
+$21.1M |
| 2 |
Vanguard Short-Term Corporate Bond ETF
VCSH
|
+$17.9M |
| 3 |
WisdomTree US MidCap Fund
EZM
|
+$5.8M |
| 4 |
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
|
+$5.05M |
| 5 |
PGIM Ultra Short Bond ETF
PULS
|
+$3.4M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares 3-7 Year Treasury Bond ETF
IEI
|
+$11.3M |
| 2 |
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
|
+$6.74M |
| 3 |
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
|
+$3.09M |
| 4 |
iShares MSCI USA Min Vol Factor ETF
USMV
|
+$2.9M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
|
FISV
526
Fiserv Inc
FISV
$27.9B
| $89K | 0.01% |
771
-48
| -6% | -$5.3K |
|
527
Alliant Energy
LNT
$18B
| $89K | 0.01% |
1,633
-1,132
| -41% | -$60.1K |
|
528
Prologis
PLD
$133B
| $89K | 0.01% |
1,009
-777
| -44% | -$68.9K |
|
529
Sanofi
SNY
$104B
| $89K | 0.01% |
1,773
-12
| -0.7% | -$562 |
|
530
Vanguard Total World Stock ETF
VT
$81.3B
| $89K | 0.01% |
1,100
| – | – |
|
|
HES
531
DELISTED
Hess
HES
| $88K | 0.01% |
1,329
-394
| -23% | -$25.8K |
|
532
International Paper
IP
$22B
| $88K | 0.01% |
2,038
| – | – |
|
533
iShares US Healthcare ETF
IYH
$3.71B
| $87K | 0.01% |
2,015
-90
| -4% | -$3.63K |
|
|
EV
534
DELISTED
Eaton Vance Corp.
EV
| $87K | 0.01% |
1,883
| – | – |
|
|
PPLT
535
abrdn Physical Platinum Shares ETF
PPLT
$2.04B
| $86K | 0.01% |
9,470
-1,150
| -11% | -$9.86K |
|
536
Tesla
TSLA
$1.3T
| $86K | 0.01% |
3,090
| – | – |
|
537
Invesco Taxable Municipal Bond ETF
BAB
$1.01B
| $85K | 0.01% |
2,700
| – | – |
|
538
Conagra Brands
CAG
$7.23B
| $85K | 0.01% |
2,498
+691
| +38% | +$20K |
|
539
D.R. Horton
DHI
$42.3B
| $85K | 0.01% |
1,613
-905
| -36% | -$48.3K |
|
540
Nuveen ESG 1-5 Year US Aggregate Bond ETF
NUSA
$34.6M
| $85K | 0.01% |
3,411
-38,261
| -92% | -$957K |
|
541
Wendy's
WEN
$1.46B
| $85K | 0.01% |
3,861
+16
| +0.4% | +$339 |
|
542
AB InBev
BUD
$165B
| $84K | 0.01% |
1,028
-152
| -13% | -$12.7K |
|
543
WisdomTree International Hedged Quality Dividend Growth Fund
IHDG
$2.25B
| $84K | 0.01% |
2,330
| – | – |
|
|
MRO
544
DELISTED
Marathon Oil Corporation
MRO
| $84K | 0.01% |
6,196
+844
| +16% | +$10.3K |
|
545
Adams Diversified Equity Fund
ADX
$3.2B
| $83K | 0.01% |
5,269
| – | – |
|
546
Linde
LIN
$226B
| $83K | 0.01% |
391
-236
| -38% | -$47.6K |
|
547
Pool Corp
POOL
$7.5B
| $82K | 0.01% |
388
-31
| -7% | -$6.4K |
|
|
CGC
548
Canopy Growth
CGC
$410M
| $81K | 0.01% |
388
+223
| +135% | +$44.3K |
|
549
Chord Energy
CHRD
$7.39B
| $81K | 0.01% |
24,886
+12,266
| +97% | +$35.1K |
|
550
Fidus Investment
FDUS
$772M
| $81K | 0.01% |
5,460
| – | – |
|
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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.