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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
APH icon
651
Amphenol
APH
$206B
$60K ﹤0.01%
1,840
– –
DHI icon
652
D.R. Horton
DHI
$42.2B
$60K ﹤0.01%
876
-161
-16% -$11.7K
PGR icon
653
Progressive
PGR
$123B
$60K ﹤0.01%
614
+135
+28% +$12.8K
PRU icon
654
Prudential Financial
PRU
$42.2B
$60K ﹤0.01%
775
-262
-25% -$18.9K
SPTS icon
655
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
$6.11B
$60K ﹤0.01%
1,966
-20,623
-91% -$633K
UBER icon
656
Uber
UBER
$160B
$60K ﹤0.01%
1,189
-500
-30% -$22.4K
GDX icon
657
VanEck Gold Miners ETF
GDX
$27.5B
$59K ﹤0.01%
1,651
-69
-4% -$2.58K
USFD icon
658
US Foods
USFD
$23.9B
$59K ﹤0.01%
1,795
+90
+5% +$2.57K
WIP icon
659
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$473M
$59K ﹤0.01%
1,007
– –
AOA icon
660
iShares Core 80/20 Aggressive Allocation ETF
AOA
$3.27B
$58K ﹤0.01%
906
– –
BEPC icon
661
Brookfield Renewable
BEPC
$6.46B
$58K ﹤0.01%
+1,004
New +$48.3K
CBRE icon
662
CBRE Group
CBRE
$42.7B
$58K ﹤0.01%
933
-9
-1% -$509
LYB icon
663
LyondellBasell Industries
LYB
$20.7B
$58K ﹤0.01%
635
+142
+29% +$11.6K
PGX icon
664
Invesco Preferred ETF
PGX
$3.76B
$58K ﹤0.01%
3,819
– –
CDC icon
665
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
$744M
$57K ﹤0.01%
1,064
– –
EFX icon
666
Equifax
EFX
$21.4B
$57K ﹤0.01%
300
– –
FLQL icon
667
Franklin US Large Cap Multifactor Index ETF
FLQL
$2.1B
$57K ﹤0.01%
1,510
– –
NVR icon
668
NVR
NVR
$17.1B
$57K ﹤0.01%
14
– –
CPRT icon
669
Copart
CPRT
$27.2B
$56K ﹤0.01%
1,788
-8
-0.4% -$233
KLAC icon
670
KLA
KLAC
$262B
$56K ﹤0.01%
2,170
+10
+0.5% +$233
PANW icon
671
Palo Alto Networks
PANW
$313B
$56K ﹤0.01%
954
-168
-15% -$7.85K
BJAN icon
672
Innovator US Equity Buffer ETF January
BJAN
$348M
$55K ﹤0.01%
1,683
-370
-18% -$11.6K
DLR icon
673
Digital Realty Trust
DLR
$70.6B
$55K ﹤0.01%
400
– –
FBNC icon
674
First Bancorp
FBNC
$2.7B
$55K ﹤0.01%
1,650
– –
FFC
675
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$781M
$55K ﹤0.01%
2,370
– –
25 26
27
28 29

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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.