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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
NVG icon
551
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.7B
$79K 0.01%
4,776
– –
STIP icon
552
iShares 0-5 Year TIPS Bond ETF
STIP
$15.9B
$79K 0.01%
789
– –
ECL icon
553
Ecolab
ECL
$79.9B
$78K 0.01%
397
– –
IHDG icon
554
WisdomTree International Hedged Quality Dividend Growth Fund
IHDG
$2.25B
$78K 0.01%
2,330
-36
-2% -$1.19K
WPC icon
555
W.P. Carey
WPC
$16.4B
$78K 0.01%
894
– –
GRNB icon
556
VanEck Green Bond ETF
GRNB
$185M
$76K 0.01%
2,884
– –
RGEN icon
557
Repligen
RGEN
$9.25B
$76K 0.01%
1,000
– –
WEN icon
558
Wendy's
WEN
$1.46B
$76K 0.01%
3,845
+14
+0.4% +$279
RNST icon
559
Renasant Corp
RNST
$3.91B
$75K 0.01%
2,152
– –
BKK
560
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
$75K 0.01%
+5,000
New +$75.4K
KEQU icon
561
Kewaunee Scientific
KEQU
$106M
$74K 0.01%
4,800
– –
FIVE icon
562
Five Below
FIVE
$13.5B
$73K 0.01%
584
– –
MEAR icon
563
BlackRock Short Maturity Municipal Bond ETF
MEAR
$1.37B
$72K 0.01%
1,450
– –
CDK
564
DELISTED
CDK Global, Inc.
CDK
$72K 0.01%
1,500
-56
-4% -$2.68K
COR icon
565
Cencora
COR
$61.2B
$71K 0.01%
873
– –
RACE icon
566
Ferrari
RACE
$72.5B
$71K 0.01%
465
-1,210
-72% -$193K
FBNC icon
567
First Bancorp
FBNC
$2.68B
$70K 0.01%
1,970
-30
-2% -$1.08K
COF icon
568
Capital One
COF
$134B
$69K 0.01%
764
+199
+35% +$17.9K
FDX icon
569
FedEx
FDX
$75.4B
$69K 0.01%
476
+13
+3% +$2.1K
FE icon
570
FirstEnergy
FE
$27.5B
$69K 0.01%
1,443
– –
HBI
571
DELISTED
Hanesbrands
HBI
$69K 0.01%
4,566
+400
+10% +$6.08K
IYK icon
572
iShares US Consumer Staples ETF
IYK
$1.43B
$69K 0.01%
1,644
+6
+0.4% +$248
BLK icon
573
Blackrock
BLK
$176B
$68K 0.01%
153
+11
+8% +$4.9K
VRSK icon
574
Verisk Analytics
VRSK
$25B
$68K 0.01%
436
-4
-0.9% -$621
YORW icon
575
York Water
YORW
$514M
$68K 0.01%
1,575
– –
21 22
23
24 25

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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.