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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
LMLP
551
DELISTED
ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN
LMLP
$35K ﹤0.01%
+3,000
New +$40.8K
ICE icon
552
Intercontinental Exchange
ICE
$84.4B
$34K ﹤0.01%
468
-430
-48% -$33K
KARS icon
553
KraneShares Electric Vehicles and Future Mobility Index ETF
KARS
$80.2M
$34K ﹤0.01%
1,915
– –
PLPC icon
554
Preformed Line Products
PLPC
$2.28B
$34K ﹤0.01%
600
– –
PWV icon
555
Invesco Large Cap Value ETF
PWV
$1.76B
$34K ﹤0.01%
1,027
– –
VAW icon
556
Vanguard Materials ETF
VAW
$3.08B
$34K ﹤0.01%
303
– –
VONG icon
557
Vanguard Russell 1000 Growth ETF
VONG
$45.8B
$34K ﹤0.01%
1,020
– –
FEZ icon
558
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.55B
$33K ﹤0.01%
1,000
– –
IONS icon
559
Ionis Pharmaceuticals
IONS
$9.4B
$33K ﹤0.01%
598
– –
NWN icon
560
Northwest Natural Holdings
NWN
$2.12B
$33K ﹤0.01%
575
– –
ROP icon
561
Roper Technologies
ROP
$39.8B
$33K ﹤0.01%
123
-8
-6% -$2.26K
LSXMK
562
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
$33K ﹤0.01%
1,155
– –
OAK
563
DELISTED
OAKTREE CAPITAL GROUP, LLC
OAK
$33K ﹤0.01%
+853
New +$35K
AEG icon
564
Aegon
AEG
$14.1B
$32K ﹤0.01%
7,677
– –
AOS icon
565
A.O. Smith
AOS
$8.7B
$32K ﹤0.01%
718
+168
+31% +$7.73K
DBA icon
566
Invesco DB Agriculture Fund
DBA
$1.23B
$32K ﹤0.01%
1,900
– –
GVI icon
567
iShares Intermediate Government/Credit Bond ETF
GVI
$3.8B
$32K ﹤0.01%
300
– –
MKTX icon
568
MarketAxess Holdings
MKTX
$5.72B
$32K ﹤0.01%
150
– –
ALK icon
569
Alaska Air
ALK
$5.58B
$31K ﹤0.01%
528
– –
COHR icon
570
Coherent
COHR
$74.2B
$31K ﹤0.01%
1,000
– –
IEI icon
571
iShares 3-7 Year Treasury Bond ETF
IEI
$17.7B
$31K ﹤0.01%
258
+73
+39% +$8.71K
PGR icon
572
Progressive
PGR
$125B
$31K ﹤0.01%
517
-10
-2% -$665
DHS icon
573
WisdomTree US High Dividend Fund
DHS
$1.58B
$30K ﹤0.01%
450
– –
ING icon
574
ING
ING
$102B
$30K ﹤0.01%
2,692
– –
KWEB icon
575
KraneShares CSI China Internet ETF
KWEB
$5.67B
$30K ﹤0.01%
765
– –
21 22
23
24 25

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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.