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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HES
576
DELISTED
Hess
HES
$36K ﹤0.01%
503
+2
+0.4% +$132
OKE icon
577
Oneok
OKE
$56.3B
$36K ﹤0.01%
535
+255
+91% +$17.5K
SWK icon
578
Stanley Black & Decker
SWK
$15.4B
$36K ﹤0.01%
249
+1
+0.4% +$142
EMN icon
579
Eastman Chemical
EMN
$8.38B
$35K ﹤0.01%
369
+150
+68% +$14.9K
ISRG icon
580
Intuitive Surgical
ISRG
$138B
$35K ﹤0.01%
183
– –
KNX icon
581
Knight Transportation
KNX
$11.2B
$35K ﹤0.01%
1,016
+154
+18% +$5.39K
LYB icon
582
LyondellBasell Industries
LYB
$20B
$35K ﹤0.01%
343
+2
+0.6% +$219
PHYS icon
583
Sprott Physical Gold
PHYS
$15.8B
$35K ﹤0.01%
3,700
– –
BXMX
584
DELISTED
Nuveen S&P 500 Buy-Write Income Fund
BXMX
$34K ﹤0.01%
2,392
– –
ETV
585
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.77B
$34K ﹤0.01%
2,140
– –
ING icon
586
ING
ING
$101B
$34K ﹤0.01%
2,692
– –
SLYV icon
587
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$5.04B
$34K ﹤0.01%
502
– –
WSM icon
588
Williams-Sonoma
WSM
$29.5B
$34K ﹤0.01%
1,052
– –
SEP
589
DELISTED
Spectra Engy Parters Lp
SEP
$34K ﹤0.01%
957
– –
DGX icon
590
Quest Diagnostics
DGX
$26.2B
$33K ﹤0.01%
315
+18
+6% +$1.97K
EQAL icon
591
Invesco Russell 1000 Equal Weight ETF
EQAL
$838M
$33K ﹤0.01%
1,000
– –
SCHG icon
592
Schwab US Large-Cap Growth ETF
SCHG
$62.9B
$33K ﹤0.01%
3,288
+2,464
+299% +$24.5K
DBA icon
593
Invesco DB Agriculture Fund
DBA
$1.24B
$32K ﹤0.01%
1,900
– –
DHS icon
594
WisdomTree US High Dividend Fund
DHS
$1.57B
$32K ﹤0.01%
450
– –
EXPE icon
595
Expedia Group
EXPE
$37B
$32K ﹤0.01%
250
– –
GVI icon
596
iShares Intermediate Government/Credit Bond ETF
GVI
$3.79B
$32K ﹤0.01%
300
– –
PANW icon
597
Palo Alto Networks
PANW
$312B
$32K ﹤0.01%
864
– –
USO icon
598
United States Oil Fund
USO
$1.77B
$32K ﹤0.01%
262
– –
VEEV icon
599
Veeva Systems
VEEV
$38.3B
$32K ﹤0.01%
300
+100
+50% +$9.07K
BOJA
600
DELISTED
Bojangles', Inc. Common Stock
BOJA
$32K ﹤0.01%
2,040
– –
22 23
24
25 26

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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.