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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FTC icon
601
First Trust Large Cap Growth AlphaDEX Fund
FTC
$1.38B
$70K ﹤0.01%
730
– –
MU icon
602
Micron Technology
MU
$981B
$70K ﹤0.01%
932
+182
+24% +$11K
PEBK icon
603
Peoples Bancorp of North Carolina
PEBK
$235M
$70K ﹤0.01%
3,048
– –
ROP icon
604
Roper Technologies
ROP
$39.5B
$70K ﹤0.01%
163
-15
-8% -$6.16K
EOG icon
605
EOG Resources
EOG
$75.2B
$69K ﹤0.01%
1,397
+1,308
+1,470% +$56.9K
ES icon
606
Eversource Energy
ES
$26.8B
$69K ﹤0.01%
804
+76
+10% +$6.77K
FBIN icon
607
Fortune Brands Innovations
FBIN
$5.97B
$69K ﹤0.01%
943
+796
+541% +$58.1K
FINX icon
608
Global X FinTech ETF
FINX
$166M
$69K ﹤0.01%
1,490
– –
NXPI icon
609
NXP Semiconductors
NXPI
$59.6B
$69K ﹤0.01%
440
– –
SNSR icon
610
Global X Internet of Things ETF
SNSR
$222M
$69K ﹤0.01%
2,190
– –
STWD icon
611
Starwood Property Trust
STWD
$6.17B
$69K ﹤0.01%
3,593
+158
+5% +$2.69K
CDK
612
DELISTED
CDK Global, Inc.
CDK
$69K ﹤0.01%
1,346
– –
ET icon
613
Energy Transfer Partners
ET
$71.6B
$67K ﹤0.01%
10,852
-10,636
-49% -$64.3K
PLD icon
614
Prologis
PLD
$133B
$67K ﹤0.01%
679
+185
+37% +$18.7K
PTF icon
615
Invesco Dorsey Wright Technology Momentum ETF
PTF
$628M
$67K ﹤0.01%
1,440
– –
QDF icon
616
FlexShares Quality Dividend Index Fund
QDF
$2.27B
$67K ﹤0.01%
1,372
– –
SLV icon
617
iShares Silver Trust
SLV
$31.5B
$67K ﹤0.01%
2,731
-18,253
-87% -$415K
CRDF icon
618
Cardiff Oncology
CRDF
$81.7M
$66K ﹤0.01%
+3,710
New +$65.2K
EXPE icon
619
Expedia Group
EXPE
$38.5B
$66K ﹤0.01%
500
-17
-3% -$1.92K
HYS icon
620
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.77B
$66K ﹤0.01%
677
– –
J icon
621
Jacobs Solutions
J
$17.3B
$66K ﹤0.01%
742
– –
SPHD icon
622
Invesco S&P 500 High Dividend Low Volatility ETF
SPHD
$3.39B
$66K ﹤0.01%
1,759
+35
+2% +$1.25K
VMC icon
623
Vulcan Materials
VMC
$37.3B
$66K ﹤0.01%
450
– –
ALK icon
624
Alaska Air
ALK
$5.4B
$65K ﹤0.01%
1,253
+697
+125% +$31.3K
CAG icon
625
Conagra Brands
CAG
$7.14B
$65K ﹤0.01%
1,806
-295
-14% -$10.7K
23 24
25
26 27

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RFA
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CCT
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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.