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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
PTIN icon
601
Pacer Trendpilot International ETF
PTIN
$188M
$63K 0.01%
2,360
-3,550
-60% -$92.5K
STAG icon
602
STAG Industrial
STAG
$7.19B
$63K 0.01%
1,999
-1,369
-41% -$42K
VLUE icon
603
iShares MSCI USA Value Factor ETF
VLUE
$9.47B
$63K 0.01%
703
+4
+0.6% +$343
AMD icon
604
Advanced Micro Devices
AMD
$789B
$62K ﹤0.01%
1,358
+1,005
+285% +$37K
CEF icon
605
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$62K ﹤0.01%
4,270
– –
DGICA icon
606
Donegal Group Class A
DGICA
$714M
$62K ﹤0.01%
4,238
– –
SBAC icon
607
SBA Communications
SBAC
$19.5B
$62K ﹤0.01%
261
+152
+139% +$36K
CEMB icon
608
iShares JPMorgan EM Corporate Bond ETF
CEMB
$412M
$61K ﹤0.01%
1,179
-17,522
-94% -$901K
CIM
609
Chimera Investment
CIM
$1B
$61K ﹤0.01%
1,000
– –
MS icon
610
Morgan Stanley
MS
$340B
$60K ﹤0.01%
1,179
+839
+247% +$39.7K
ROK icon
611
Rockwell Automation
ROK
$49B
$60K ﹤0.01%
300
-19
-6% -$3.52K
RWR icon
612
State Street SPDR Dow Jones REIT ETF
RWR
$1.89B
$60K ﹤0.01%
592
+110
+23% +$11.4K
PGX icon
613
Invesco Preferred ETF
PGX
$3.78B
$59K ﹤0.01%
3,964
-95
-2% -$1.42K
RDOG icon
614
ALPS REIT Dividend Dogs ETF
RDOG
$11.3M
$59K ﹤0.01%
1,228
+15
+1% +$725
UUP icon
615
Invesco DB US Dollar Index Bullish Fund
UUP
$413M
$59K ﹤0.01%
2,300
-3,590
-61% -$95.9K
PXD
616
DELISTED
Pioneer Natural Resource Co.
PXD
$59K ﹤0.01%
394
– –
ALC icon
617
Alcon
ALC
$35B
$58K ﹤0.01%
1,035
+6
+0.6% +$344
IQV icon
618
IQVIA
IQV
$39.3B
$57K ﹤0.01%
370
+241
+187% +$35.2K
LITE icon
619
Lumentum
LITE
$69.3B
$57K ﹤0.01%
719
+592
+466% +$38.8K
ROP icon
620
Roper Technologies
ROP
$39.8B
$57K ﹤0.01%
161
– –
VRTX icon
621
Vertex Pharmaceuticals
VRTX
$126B
$57K ﹤0.01%
263
+50
+23% +$10.1K
MKTX icon
622
MarketAxess Holdings
MKTX
$5.72B
$56K ﹤0.01%
150
-13
-8% -$4.77K
PIO icon
623
Invesco Global Water ETF
PIO
$283M
$56K ﹤0.01%
+1,830
New +$53.3K
ROBO icon
624
ROBO Global Robotics & Automation Index ETF
ROBO
$2.11B
$56K ﹤0.01%
+1,350
New +$54.4K
AMCR icon
625
Amcor
AMCR
$22.1B
$55K ﹤0.01%
1,020
– –
23 24
25
26 27

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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.