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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
CHKP icon
626
Check Point Software Technologies
CHKP
$13.4B
$27K ﹤0.01%
237
+16
+7% +$1.82K
ERC
627
Allspring Multi-Sector Income Fund
ERC
$261M
$27K ﹤0.01%
2,235
– –
FDL icon
628
First Trust Morningstar Dividend Leaders Index Fund
FDL
$7.85B
$27K ﹤0.01%
910
– –
FFC
629
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$783M
$27K ﹤0.01%
1,485
– –
K
630
DELISTED
Kellanova
K
$27K ﹤0.01%
413
+1
+0.2% +$67
KDP icon
631
Keurig Dr Pepper
KDP
$39.9B
$27K ﹤0.01%
1,200
-56
-4% -$1.77K
NTRS icon
632
Northern Trust
NTRS
$34.4B
$27K ﹤0.01%
266
+16
+6% +$1.71K
PAA icon
633
Plains All American Pipeline
PAA
$16.4B
$27K ﹤0.01%
1,087
+688
+172% +$17.3K
REGN icon
634
Regeneron Pharmaceuticals
REGN
$83.2B
$27K ﹤0.01%
67
– –
AVY icon
635
Avery Dennison
AVY
$13.5B
$26K ﹤0.01%
248
+18
+8% +$1.94K
BIP icon
636
Brookfield Infrastructure Partners
BIP
$17.5B
$26K ﹤0.01%
+1,134
New +$27K
CP icon
637
Canadian Pacific Kansas City
CP
$79.6B
$26K ﹤0.01%
625
– –
EFR
638
Eaton Vance Senior Floating-Rate Fund
EFR
$319M
$26K ﹤0.01%
1,900
– –
EXG icon
639
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$3.07B
$26K ﹤0.01%
2,787
+900
+48% +$8.61K
FTA icon
640
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.42B
$26K ﹤0.01%
490
– –
MKTX icon
641
MarketAxess Holdings
MKTX
$5.72B
$26K ﹤0.01%
150
– –
NWG icon
642
NatWest
NWG
$76.3B
$26K ﹤0.01%
3,798
– –
RPG icon
643
Invesco S&P 500 Pure Growth ETF
RPG
$2.03B
$26K ﹤0.01%
1,100
– –
STZ icon
644
Constellation Brands
STZ
$22.8B
$26K ﹤0.01%
122
– –
TDG icon
645
TransDigm Group
TDG
$67.6B
$26K ﹤0.01%
72
– –
ATVI
646
DELISTED
Activision Blizzard
ATVI
$26K ﹤0.01%
321
+251
+359% +$19K
ANF icon
647
Abercrombie & Fitch
ANF
$5.27B
$25K ﹤0.01%
1,204
– –
FBT icon
648
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.81B
$25K ﹤0.01%
161
– –
IRM icon
649
Iron Mountain
IRM
$36.2B
$25K ﹤0.01%
730
+148
+25% +$5.27K
KRE icon
650
State Street SPDR S&P Regional Banking ETF
KRE
$4.56B
$25K ﹤0.01%
428
+228
+114% +$14.2K
24 25
26
27 28

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NFG
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6M
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RFA
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CCT
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RM
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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.