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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
HYS icon
576
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.77B
$67K 0.01%
677
– –
BKNG icon
577
Booking.com
BKNG
$161B
$66K 0.01%
850
+425
+100% +$32.9K
BMI icon
578
Badger Meter
BMI
$4.03B
$66K 0.01%
1,233
– –
ES icon
579
Eversource Energy
ES
$27.2B
$66K 0.01%
780
-272
-26% -$21.6K
FPE icon
580
First Trust Preferred Securities and Income ETF
FPE
$6.36B
$66K 0.01%
3,350
-837
-20% -$16.4K
HR icon
581
Healthcare Realty
HR
$6.84B
$66K 0.01%
2,259
+748
+50% +$20.9K
KMX icon
582
CarMax
KMX
$8.26B
$66K 0.01%
759
– –
NOC icon
583
Northrop Grumman
NOC
$81.2B
$66K 0.01%
177
-6
-3% -$2.13K
NWL icon
584
Newell Brands
NWL
$2.56B
$66K 0.01%
3,549
+157
+5% +$2.53K
PFFD icon
585
Global X US Preferred ETF
PFFD
$2.16B
$65K 0.01%
2,618
+45
+2% +$1.12K
VPU
586
Vanguard Utilities ETF
VPU
$8.44B
$65K 0.01%
453
-110
-20% -$15.1K
MRO
587
DELISTED
Marathon Oil Corporation
MRO
$65K 0.01%
5,352
– –
FCN icon
588
FTI Consulting
FCN
$4.18B
$64K 0.01%
611
– –
MXIM
589
DELISTED
Maxim Integrated Products
MXIM
$64K 0.01%
1,112
+741
+200% +$42.9K
EIX icon
590
Edison International
EIX
$26.4B
$63K 0.01%
846
+772
+1,043% +$55.6K
MSI icon
591
Motorola Solutions
MSI
$77.4B
$63K 0.01%
371
– –
MIC
592
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$63K 0.01%
1,600
– –
AGGP
593
DELISTED
IQ Enhanced Core Plus Bond U.S. ETF
AGGP
$63K 0.01%
3,237
-1,400
-30% -$27.4K
CPB icon
594
Campbell Soup
CPB
$6.87B
$62K 0.01%
1,337
– –
DGICA icon
595
Donegal Group Class A
DGICA
$714M
$62K 0.01%
4,238
-1,092
-20% -$15.9K
MKC icon
596
McCormick & Company Non-Voting
MKC
$14.2B
$62K 0.01%
800
-30
-4% -$2.41K
PPL
597
PPL Corp
PPL
$26.7B
$62K 0.01%
1,988
– –
QYLD icon
598
Global X NASDAQ-100 Covered Call ETF
QYLD
$8.27B
$62K 0.01%
2,761
-370
-12% -$8.47K
TAN icon
599
Invesco Solar ETF
TAN
$1.38B
$62K 0.01%
2,120
– –
ALC icon
600
Alcon
ALC
$35B
$60K 0.01%
+1,029
New +$61.7K
22 23
24
25 26

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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.