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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
AYR
676
DELISTED
Aircastle Ltd
AYR
$39K ﹤0.01%
1,740
– –
CW icon
677
Curtiss-Wright
CW
$25.5B
$38K ﹤0.01%
300
– –
VAW icon
678
Vanguard Materials ETF
VAW
$3.08B
$38K ﹤0.01%
303
– –
VEEV icon
679
Veeva Systems
VEEV
$37.4B
$38K ﹤0.01%
249
– –
CGC
680
Canopy Growth
CGC
$410M
$37K ﹤0.01%
165
-12
-7% -$3.67K
EBAY icon
681
eBay
EBAY
$49.8B
$37K ﹤0.01%
959
-16
-2% -$642
IONS icon
682
Ionis Pharmaceuticals
IONS
$9.4B
$37K ﹤0.01%
628
-164
-21% -$10.7K
JNK icon
683
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.31B
$37K ﹤0.01%
348
– –
QRVO icon
684
Qorvo
QRVO
$8.74B
$37K ﹤0.01%
512
– –
ALK icon
685
Alaska Air
ALK
$5.58B
$36K ﹤0.01%
556
– –
CQP icon
686
Cheniere Energy
CQP
$31.3B
$36K ﹤0.01%
808
– –
VRTX icon
687
Vertex Pharmaceuticals
VRTX
$126B
$36K ﹤0.01%
213
-5
-2% -$885
CART
688
DELISTED
Carolina Trust BancShares
CART
$36K ﹤0.01%
3,484
-150
-4% -$1.48K
AIG icon
689
American International
AIG
$41.3B
$35K ﹤0.01%
636
– –
COHR icon
690
Coherent
COHR
$74.2B
$35K ﹤0.01%
1,000
– –
CPRT icon
691
Copart
CPRT
$27.5B
$35K ﹤0.01%
1,752
-92
-5% -$1.79K
PGZ
692
Principal Real Estate Income Fund
PGZ
$68.7M
$35K ﹤0.01%
1,750
– –
UNM icon
693
Unum
UNM
$14.3B
$35K ﹤0.01%
1,200
– –
VYMI icon
694
Vanguard International High Dividend Yield ETF
VYMI
$21.3B
$35K ﹤0.01%
590
– –
WSM icon
695
Williams-Sonoma
WSM
$29.6B
$35K ﹤0.01%
1,052
– –
XSLV icon
696
Invesco S&P SmallCap Low Volatility ETF
XSLV
$249M
$35K ﹤0.01%
726
+600
+476% +$28.9K
CBL
697
DELISTED
CBL& Associates Properties, Inc.
CBL
$35K ﹤0.01%
27,600
– –
EXPE icon
698
Expedia Group
EXPE
$37.3B
$34K ﹤0.01%
260
+10
+4% +$1.32K
FTLS icon
699
First Trust Long/Short Equity ETF
FTLS
$2.49B
$34K ﹤0.01%
+842
New +$34.3K
HIW icon
700
Highwoods Properties
HIW
$3.47B
$34K ﹤0.01%
760
+452
+147% +$19.8K
26 27
28
29 30

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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.