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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
FULT icon
626
Fulton Financial
FULT
$4.64B
$51K ﹤0.01%
3,166
– –
FXH icon
627
First Trust Health Care AlphaDEX Fund
FXH
$1.11B
$51K ﹤0.01%
690
– –
KEX icon
628
Kirby Corp
KEX
$6.93B
$51K ﹤0.01%
626
– –
HSBC.PRA
629
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$51K ﹤0.01%
1,945
– –
PEBK icon
630
Peoples Bancorp of North Carolina
PEBK
$229M
$50K ﹤0.01%
1,698
– –
RWR icon
631
State Street SPDR Dow Jones REIT ETF
RWR
$1.89B
$50K ﹤0.01%
482
– –
SU icon
632
Suncor Energy
SU
$70.3B
$50K ﹤0.01%
1,593
+29
+2% +$872
JPED
633
DELISTED
JPMorgan Event Driven ETF
JPED
$50K ﹤0.01%
+2,000
New +$50.4K
AMCR icon
634
Amcor
AMCR
$22.1B
$49K ﹤0.01%
+1,020
New +$52.7K
FFC
635
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$49K ﹤0.01%
2,370
+1,570
+196% +$31.9K
HEDJ icon
636
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.87B
$49K ﹤0.01%
1,484
-1,996
-57% -$65.7K
TSLA icon
637
Tesla
TSLA
$1.3T
$49K ﹤0.01%
3,090
– –
PXD
638
DELISTED
Pioneer Natural Resource Co.
PXD
$49K ﹤0.01%
394
– –
AOA icon
639
iShares Core 80/20 Aggressive Allocation ETF
AOA
$3.28B
$48K ﹤0.01%
885
-22
-2% -$1.2K
AVA icon
640
Avista
AVA
$3.24B
$48K ﹤0.01%
1,000
– –
KARS icon
641
KraneShares Electric Vehicles and Future Mobility Index ETF
KARS
$80.2M
$48K ﹤0.01%
2,355
+1,240
+111% +$25.3K
PHYS icon
642
Sprott Physical Gold
PHYS
$15.7B
$48K ﹤0.01%
4,133
– –
PID icon
643
Invesco International Dividend Achievers ETF
PID
$919M
$48K ﹤0.01%
3,000
– –
WBA
644
DELISTED
Walgreens Boots Alliance
WBA
$48K ﹤0.01%
876
+2
+0.2% +$107
VMBS icon
645
Vanguard Mortgage-Backed Securities ETF
VMBS
$15.7B
$47K ﹤0.01%
888
+217
+32% +$11.5K
BN icon
646
Brookfield
BN
$108B
$45K ﹤0.01%
2,408
-123
-5% -$2.23K
USMF icon
647
WisdomTree US Multifactor Fund
USMF
$303M
$45K ﹤0.01%
1,500
-2,000
-57% -$60.7K
ALLY icon
648
Ally Financial
ALLY
$13.3B
$44K ﹤0.01%
1,327
+8
+0.6% +$259
APH icon
649
Amphenol
APH
$209B
$44K ﹤0.01%
1,840
– –
IGIB icon
650
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.6B
$44K ﹤0.01%
772
– –
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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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.