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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
PHM icon
601
Pultegroup
PHM
$24.8B
$31K ﹤0.01%
1,280
– –
PTF icon
602
Invesco Dorsey Wright Technology Momentum ETF
PTF
$620M
$31K ﹤0.01%
1,440
– –
BSJI
603
DELISTED
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
$31K ﹤0.01%
1,250
-525
-30% -$13.2K
AMLP icon
604
Alerian MLP ETF
AMLP
$13.3B
$30K ﹤0.01%
573
+453
+378% +$24.4K
HPQ icon
605
HP
HPQ
$27.3B
$30K ﹤0.01%
1,185
+353
+42% +$8.53K
IONS icon
606
Ionis Pharmaceuticals
IONS
$9.46B
$30K ﹤0.01%
598
– –
IT icon
607
Gartner
IT
$12.2B
$30K ﹤0.01%
195
– –
J icon
608
Jacobs Solutions
J
$17.2B
$30K ﹤0.01%
484
– –
QSR icon
609
Restaurant Brands International
QSR
$25.4B
$30K ﹤0.01%
508
– –
RWO icon
610
State Street SPDR Dow Jones Global Real Estate ETF
RWO
$1.29B
$30K ﹤0.01%
650
– –
SSYS icon
611
Stratasys
SSYS
$769M
$30K ﹤0.01%
1,300
– –
AOS icon
612
A.O. Smith
AOS
$8.48B
$29K ﹤0.01%
550
– –
DIAX
613
DELISTED
Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX
$29K ﹤0.01%
+1,500
New +$28.8K
VMBS icon
614
Vanguard Mortgage-Backed Securities ETF
VMBS
$15.6B
$29K ﹤0.01%
573
+430
+301% +$22K
VRSK icon
615
Verisk Analytics
VRSK
$23.6B
$29K ﹤0.01%
241
– –
LGF.B
616
DELISTED
Lions Gate Entertainment Corp. Class B Non-Voting Shares
LGF.B
$29K ﹤0.01%
1,282
– –
CDK
617
DELISTED
CDK Global, Inc.
CDK
$29K ﹤0.01%
465
+15
+3% +$951
XLNX
618
DELISTED
Xilinx Inc
XLNX
$29K ﹤0.01%
+362
New +$26.5K
ES icon
619
Eversource Energy
ES
$26.8B
$28K ﹤0.01%
459
-242
-35% -$14.8K
ILCG icon
620
iShares Morningstar Growth ETF
ILCG
$3.26B
$28K ﹤0.01%
775
– –
QCLN icon
621
First Trust NASDAQ Clean Edge Green Energy Index Fund
QCLN
$619M
$28K ﹤0.01%
1,435
+995
+226% +$20K
TVTX icon
622
Travere Therapeutics
TVTX
$5.74B
$28K ﹤0.01%
1,000
– –
UYG icon
623
ProShares Ultra Financials
UYG
$851M
$28K ﹤0.01%
660
– –
XLB icon
624
State Street Materials Select Sector SPDR ETF
XLB
$8.71B
$28K ﹤0.01%
996
+2
+0.2% +$59
CHL
625
DELISTED
China Mobile Limited
CHL
$28K ﹤0.01%
590
+150
+34% +$6.93K
23 24
25
26 27

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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.