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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
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
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
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
– –
CPB icon
553
Campbell Soup
CPB
$6.87B
$78K 0.01%
1,587
+250
+19% +$11.9K
FBNC icon
554
First Bancorp
FBNC
$2.68B
$78K 0.01%
1,970
– –
LRCX icon
555
Lam Research
LRCX
$390B
$78K 0.01%
+2,670
New +$70.9K
AMJ
556
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$78K 0.01%
3,618
-8,762
-71% -$189K
CDK
557
DELISTED
CDK Global, Inc.
CDK
$78K 0.01%
1,434
-66
-4% -$3.39K
GRNB icon
558
VanEck Green Bond ETF
GRNB
$185M
$76K 0.01%
2,884
– –
HBI
559
DELISTED
Hanesbrands
HBI
$76K 0.01%
5,178
+612
+13% +$9.3K
QSR icon
560
Restaurant Brands International
QSR
$25.8B
$76K 0.01%
1,206
+716
+146% +$47.9K
RNST icon
561
Renasant Corp
RNST
$3.91B
$76K 0.01%
2,152
– –
VYX icon
562
NCR Voyix
VYX
$1.14B
$76K 0.01%
3,563
+2,005
+129% +$39K
PPL
563
PPL Corp
PPL
$26.7B
$75K 0.01%
2,104
+116
+6% +$3.89K
AGGP
564
DELISTED
IQ Enhanced Core Plus Bond U.S. ETF
AGGP
$75K 0.01%
3,841
+604
+19% +$11.9K
ALB icon
565
Albemarle
ALB
$15.5B
$74K 0.01%
1,018
+389
+62% +$26K
BMI icon
566
Badger Meter
BMI
$4.03B
$74K 0.01%
1,150
-83
-7% -$4.92K
BNDX icon
567
Vanguard Total International Bond ETF
BNDX
$83.1B
$74K 0.01%
1,324
-210
-14% -$12.2K
FIVE icon
568
Five Below
FIVE
$13.5B
$74K 0.01%
584
– –
WOW
569
DELISTED
WideOpenWest
WOW
$74K 0.01%
+10,000
New +$63.3K
BKK
570
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
$74K 0.01%
5,000
– –
EBAY icon
571
eBay
EBAY
$49.8B
$73K 0.01%
2,026
+1,067
+111% +$38.7K
ES icon
572
Eversource Energy
ES
$27.2B
$73K 0.01%
860
+80
+10% +$6.65K
IYK icon
573
iShares US Consumer Staples ETF
IYK
$1.43B
$73K 0.01%
1,650
+6
+0.4% +$257
PEG icon
574
Public Service Enterprise Group
PEG
$37.7B
$73K 0.01%
1,251
+584
+88% +$35.4K
MEAR icon
575
BlackRock Short Maturity Municipal Bond ETF
MEAR
$1.37B
$72K 0.01%
1,450
– –
21 22
23
24 25

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RFA
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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.