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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
-12.12%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$899M
AUM Growth
-$46.6M
Cap. Flow
+$64.5M
Cap. Flow %
7.17%
Top 10 Hldgs %
51.54%
Holding
1,465
New
87
Increased
269
Reduced
314
Closed
79

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$95.8M
2
ARKK icon
ARK Innovation ETF
ARKK
+$3.83M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.05M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$2.76M
5
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$2.26M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$26.6M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.04M
3
RTX icon
RTX Corp
RTX
+$4.17M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.03M
5
RNRG icon
Global X Renewable Energy Producers ETF
RNRG
+$3.43M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Technology 5.12%
3 Healthcare 3.27%
4 Energy 2.86%
5 Consumer Staples 2.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XHR
676
Xenia Hotels & Resorts
XHR
$1.79B
$20K ﹤0.01%
1,200
-667
-36% -$13.6K
LGF.B
677
DELISTED
Lions Gate Entertainment Corp. Class B Non-Voting Shares
LGF.B
$20K ﹤0.01%
1,236
-46
-4% -$830
INFO
678
DELISTED
IHS Markit Ltd. Common Shares
INFO
$20K ﹤0.01%
413
– –
SYKE
679
DELISTED
SYKES Enterprises Inc
SYKE
$20K ﹤0.01%
800
– –
BF.B icon
680
Brown-Forman Class B
BF.B
$13.1B
$19K ﹤0.01%
421
+10
+2% +$475
BN icon
681
Brookfield
BN
$108B
$19K ﹤0.01%
1,368
-154
-10% -$2.3K
IGE icon
682
iShares North American Natural Resources ETF
IGE
$754M
$19K ﹤0.01%
660
– –
KLAC icon
683
KLA
KLAC
$259B
$19K ﹤0.01%
2,080
+10
+0.5% +$93
NUV icon
684
Nuveen Municipal Value Fund
NUV
$1.91B
$19K ﹤0.01%
2,000
– –
PANW icon
685
Palo Alto Networks
PANW
$297B
$19K ﹤0.01%
624
-240
-28% -$7.48K
TEL icon
686
TE Connectivity
TEL
$62.6B
$19K ﹤0.01%
253
– –
VBR icon
687
Vanguard Morningstar Small-Cap Value ETF
VBR
$38.1B
$19K ﹤0.01%
164
-7
-4% -$886
XBI icon
688
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$19K ﹤0.01%
241
– –
JPS
689
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$19K ﹤0.01%
2,284
+45
+2% +$373
VER
690
DELISTED
VEREIT, Inc.
VER
$19K ﹤0.01%
531
– –
NNC
691
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
$19K ﹤0.01%
1,627
– –
DATA
692
DELISTED
Tableau Software, Inc.
DATA
$19K ﹤0.01%
160
– –
ADSK icon
693
Autodesk
ADSK
$52.6B
$18K ﹤0.01%
141
-8
-5% -$1.08K
CATO icon
694
Cato Corp
CATO
$66.1M
$18K ﹤0.01%
1,175
– –
CGW icon
695
Invesco S&P Global Water Index ETF
CGW
$1.08B
$18K ﹤0.01%
589
– –
DGX icon
696
Quest Diagnostics
DGX
$26.3B
$18K ﹤0.01%
225
-90
-29% -$8.44K
DRI icon
697
Darden Restaurants
DRI
$24.4B
$18K ﹤0.01%
175
– –
GHYG icon
698
iShares US & Intl High Yield Corp Bond ETF
GHYG
$199M
$18K ﹤0.01%
401
– –
NMRK icon
699
Newmark Group
NMRK
$2.63B
$18K ﹤0.01%
+2,124
New +$20.1K
PBW icon
700
Invesco WilderHill Clean Energy ETF
PBW
$461M
$18K ﹤0.01%
792
– –
26 27
28
29 30

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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 Q4 2018 Portfolio in Review

As of Q4 2018, Carroll Financial Associates held 1,465 positions worth $899M, down 4.9% from $945M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Carroll Financial Associates deployed $64.5M of net new capital in Q4 2018, opening 87 new positions and adding to 269 existing holdings. Its largest new stake was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, down from 8% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $26.6M trimmed.

  • Carroll Financial Associates's largest Q4 2018 buy was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.
  • Carroll Financial Associates added most to ARK Innovation ETF in Q4 2018, an estimated $3.83M increase.
  • Carroll Financial Associates's biggest Q4 2018 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $26.6M.
  • Carroll Financial Associates fully exited Aetna Inc in Q4 2018, selling an estimated $1.34M.
  • Carroll Financial Associates's ten largest holdings make up 52% of its $899M portfolio in Q4 2018.
  • Carroll Financial Associates opened 87 new positions and closed 79 in Q4 2018.
  • Carroll Financial Associates's portfolio value fell 4.9% quarter-over-quarter to $899M.

Based on Carroll Financial Associates's 13F filing for Q4 2018, filed 11 Jan 2019.