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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IQV icon
651
IQVIA
IQV
$40.1B
$50K ﹤0.01%
322
+86
+36% +$13.5K
LRCX icon
652
Lam Research
LRCX
$390B
$50K ﹤0.01%
1,530
-1,750
-53% -$60.3K
PID icon
653
Invesco International Dividend Achievers ETF
PID
$913M
$50K ﹤0.01%
4,000
+1,000
+33% +$13K
SCHM icon
654
Schwab US Mid-Cap ETF
SCHM
$15.1B
$50K ﹤0.01%
2,745
+1,245
+83% +$23.1K
APH icon
655
Amphenol
APH
$206B
$49K ﹤0.01%
1,840
– –
DELL icon
656
Dell
DELL
$285B
$49K ﹤0.01%
1,452
+394
+37% +$12.3K
FFC
657
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$781M
$49K ﹤0.01%
2,370
– –
PLD icon
658
Prologis
PLD
$133B
$49K ﹤0.01%
494
-477
-49% -$47.8K
VRSK icon
659
Verisk Analytics
VRSK
$23.6B
$49K ﹤0.01%
268
+63
+31% +$11.5K
MMP
660
DELISTED
Magellan Midstream Partners, L.P.
MMP
$49K ﹤0.01%
1,443
-500
-26% -$19.8K
GBUY
661
DELISTED
Goldman Sachs New Age Consumer ETF
GBUY
$49K ﹤0.01%
597
+115
+24% +$9.04K
BOCT icon
662
Innovator US Equity Buffer ETF October
BOCT
$289M
$48K ﹤0.01%
1,740
– –
BUD icon
663
AB InBev
BUD
$159B
$47K ﹤0.01%
888
– –
CPRT icon
664
Copart
CPRT
$27.2B
$47K ﹤0.01%
1,796
– –
EFX icon
665
Equifax
EFX
$21.4B
$47K ﹤0.01%
300
– –
EXPE icon
666
Expedia Group
EXPE
$38.5B
$47K ﹤0.01%
517
+177
+52% +$15.9K
FTV icon
667
Fortive
FTV
$18.6B
$47K ﹤0.01%
996
+129
+15% +$5.88K
PEBK icon
668
Peoples Bancorp of North Carolina
PEBK
$235M
$47K ﹤0.01%
3,048
– –
WMB icon
669
Williams Companies
WMB
$88.4B
$47K ﹤0.01%
2,404
– –
CGC
670
Canopy Growth
CGC
$422M
$46K ﹤0.01%
327
-15
-4% -$2.52K
IGIB icon
671
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$46K ﹤0.01%
772
– –
MDYG icon
672
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.94B
$46K ﹤0.01%
802
– –
PNOV icon
673
Innovator US Equity Power Buffer ETF November
PNOV
$895M
$46K ﹤0.01%
1,700
– –
RWJ icon
674
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.09B
$46K ﹤0.01%
2,319
-276
-11% -$5.53K
USMF icon
675
WisdomTree US Multifactor Fund
USMF
$302M
$46K ﹤0.01%
1,500
– –
25 26
27
28 29

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Carroll Financial Associates's Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.