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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GBIL icon
701
Goldman Sachs Access Treasury 0-1 Year ETF
GBIL
$7.59B
$20K ﹤0.01%
200
– –
HSBC icon
702
HSBC
HSBC
$354B
$20K ﹤0.01%
499
+14
+3% +$607
ICLN icon
703
iShares Global Clean Energy ETF
ICLN
$2.08B
$20K ﹤0.01%
+2,336
New +$20.5K
IYK icon
704
iShares US Consumer Staples ETF
IYK
$1.43B
$20K ﹤0.01%
516
– –
IYT icon
705
iShares US Transportation ETF
IYT
$2.27B
$20K ﹤0.01%
400
– –
KMX icon
706
CarMax
KMX
$8.34B
$20K ﹤0.01%
270
– –
MDYG icon
707
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.93B
$20K ﹤0.01%
369
– –
MIN
708
Aberdeen Intermediate Income Fund
MIN
$278M
$20K ﹤0.01%
5,500
– –
PUK icon
709
Prudential
PUK
$35.1B
$20K ﹤0.01%
467
– –
VMO icon
710
Invesco Municipal Opportunity Trust
VMO
$658M
$20K ﹤0.01%
1,829
– –
WEN icon
711
Wendy's
WEN
$1.39B
$20K ﹤0.01%
1,172
– –
TWTR
712
DELISTED
Twitter, Inc.
TWTR
$20K ﹤0.01%
704
-61
-8% -$2.16K
ULTI
713
DELISTED
Ultimate Software Group Inc
ULTI
$20K ﹤0.01%
65
– –
CRSP icon
714
CRISPR Therapeutics
CRSP
$5.17B
$19K ﹤0.01%
450
– –
DRI icon
715
Darden Restaurants
DRI
$24.9B
$19K ﹤0.01%
+175
New +$19.7K
DWX icon
716
State Street SPDR S&P International Dividend ETF
DWX
$529M
$19K ﹤0.01%
503
+3
+0.6% +$116
GHYG icon
717
iShares US & Intl High Yield Corp Bond ETF
GHYG
$199M
$19K ﹤0.01%
401
– –
MGA icon
718
Magna International
MGA
$18.7B
$19K ﹤0.01%
370
– –
PARA
719
DELISTED
Paramount Global Class B
PARA
$19K ﹤0.01%
338
+53
+19% +$2.93K
PBW icon
720
Invesco WilderHill Clean Energy ETF
PBW
$458M
$19K ﹤0.01%
+792
New +$20.1K
PCN
721
PIMCO Corporate & Income Strategy Fund
PCN
$889M
$19K ﹤0.01%
1,080
– –
PHG icon
722
Philips
PHG
$26.3B
$19K ﹤0.01%
544
+7
+1% +$239
PSLV icon
723
Sprott Physical Silver Trust
PSLV
$13.7B
$19K ﹤0.01%
3,750
– –
SBAC icon
724
SBA Communications
SBAC
$19.2B
$19K ﹤0.01%
120
– –
SMOG icon
725
VanEck Low Carbon Energy ETF
SMOG
$134M
$19K ﹤0.01%
+335
New +$20K
27 28
29
30 31

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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.