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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
MDYG icon
676
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.94B
$55K ﹤0.01%
802
– –
UUP icon
677
Invesco DB US Dollar Index Bullish Fund
UUP
$414M
$55K ﹤0.01%
2,300
– –
FTNT icon
678
Fortinet
FTNT
$119B
$54K ﹤0.01%
1,820
– –
GRWG icon
679
GrowGeneration
GRWG
$89.5M
$54K ﹤0.01%
1,350
– –
TVTX icon
680
Travere Therapeutics
TVTX
$5.68B
$54K ﹤0.01%
2,000
+1,000
+100% +$23.3K
VRSK icon
681
Verisk Analytics
VRSK
$23.6B
$54K ﹤0.01%
264
-4
-1% -$778
XLE icon
682
State Street Energy Select Sector SPDR ETF
XLE
$39.8B
$54K ﹤0.01%
2,870
-754
-21% -$13K
CW icon
683
Curtiss-Wright
CW
$26.1B
$53K ﹤0.01%
455
+1
+0.2% +$106
DELL icon
684
Dell
DELL
$285B
$53K ﹤0.01%
1,452
– –
NCLH icon
685
Norwegian Cruise Line
NCLH
$8.59B
$53K ﹤0.01%
2,093
+1,463
+232% +$30.5K
SIRI icon
686
SiriusXM
SIRI
$9.61B
$53K ﹤0.01%
837
+813
+3,388% +$49.9K
XLB icon
687
State Street Materials Select Sector SPDR ETF
XLB
$8.72B
$53K ﹤0.01%
1,468
-2,188
-60% -$74.9K
ALC icon
688
Alcon
ALC
$36.4B
$52K ﹤0.01%
802
-150
-16% -$9.38K
BOCT icon
689
Innovator US Equity Buffer ETF October
BOCT
$289M
$52K ﹤0.01%
1,740
– –
BUD icon
690
AB InBev
BUD
$159B
$52K ﹤0.01%
744
-144
-16% -$9.11K
CB icon
691
Chubb
CB
$134B
$52K ﹤0.01%
342
-324
-49% -$45.4K
SABR icon
692
Sabre
SABR
$803M
$52K ﹤0.01%
4,362
-2,119
-33% -$19.6K
UJAN icon
693
Innovator US Equity Ultra Buffer ETF January
UJAN
$272M
$52K ﹤0.01%
+1,750
New +$51.1K
USMF icon
694
WisdomTree US Multifactor Fund
USMF
$302M
$52K ﹤0.01%
1,500
– –
TEL icon
695
TE Connectivity
TEL
$63.3B
$51K ﹤0.01%
428
-12
-3% -$1.32K
DKNG icon
696
DraftKings
DKNG
$12.6B
$50K ﹤0.01%
1,082
– –
FRC
697
DELISTED
First Republic Bank
FRC
$50K ﹤0.01%
343
-10
-3% -$1.3K
TWTR
698
DELISTED
Twitter, Inc.
TWTR
$50K ﹤0.01%
939
-911
-49% -$43.5K
HEDJ icon
699
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.87B
$49K ﹤0.01%
1,484
– –
PNOV icon
700
Innovator US Equity Power Buffer ETF November
PNOV
$895M
$49K ﹤0.01%
1,700
– –
26 27
28
29 30

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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.