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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TECD
701
DELISTED
Tech Data Corp
TECD
$41K ﹤0.01%
+288
New +$37K
INST
702
DELISTED
Instructure, Inc.
INST
$41K ﹤0.01%
+862
New +$40.4K
ALLY icon
703
Ally Financial
ALLY
$13.3B
$40K ﹤0.01%
1,319
-8
-0.6% -$250
BCE icon
704
BCE
BCE
$21.2B
$40K ﹤0.01%
881
+184
+26% +$8.81K
MELI icon
705
Mercado Libre
MELI
$92.3B
$40K ﹤0.01%
71
-2
-3% -$1.11K
SABR icon
706
Sabre
SABR
$835M
$40K ﹤0.01%
1,826
– –
SPSC icon
707
SPS Commerce
SPSC
$2.64B
$40K ﹤0.01%
732
+712
+3,560% +$37.9K
TOWN icon
708
Towne Bank
TOWN
$3.42B
$40K ﹤0.01%
1,459
– –
UNM icon
709
Unum
UNM
$14.3B
$40K ﹤0.01%
1,400
+200
+17% +$5.82K
VAW icon
710
Vanguard Materials ETF
VAW
$3.08B
$40K ﹤0.01%
303
– –
VMBS icon
711
Vanguard Mortgage-Backed Securities ETF
VMBS
$15.7B
$40K ﹤0.01%
770
-118
-13% -$6.28K
XSLV icon
712
Invesco S&P SmallCap Low Volatility ETF
XSLV
$249M
$40K ﹤0.01%
792
+66
+9% +$3.3K
CDNS icon
713
Cadence Design Systems
CDNS
$93.4B
$39K ﹤0.01%
+565
New +$37.9K
HPI
714
John Hancock Preferred Income Fund
HPI
$433M
$39K ﹤0.01%
1,750
– –
LBRDK icon
715
Liberty Broadband Class C
LBRDK
$5.15B
$39K ﹤0.01%
317
+219
+223% +$25.5K
RSG icon
716
Republic Services
RSG
$65.7B
$39K ﹤0.01%
438
+108
+33% +$9.45K
ALTR
717
DELISTED
Altair Engineering Inc
ALTR
$39K ﹤0.01%
1,105
+1,077
+3,846% +$36.3K
SAFM
718
DELISTED
Sanderson Farms Inc
SAFM
$39K ﹤0.01%
225
– –
EGOV
719
DELISTED
NIC Inc
EGOV
$39K ﹤0.01%
+1,767
New +$38.7K
IPHI
720
DELISTED
INPHI CORPORATION
IPHI
$39K ﹤0.01%
+540
New +$37.1K
ACIA
721
DELISTED
Acacia Communications Inc
ACIA
$39K ﹤0.01%
+577
New +$38.2K
IONS icon
722
Ionis Pharmaceuticals
IONS
$9.4B
$38K ﹤0.01%
641
+13
+2% +$775
KLAC icon
723
KLA
KLAC
$259B
$38K ﹤0.01%
2,140
+10
+0.5% +$168
RMBS icon
724
Rambus
RMBS
$11B
$38K ﹤0.01%
+2,822
New +$37.9K
WSM icon
725
Williams-Sonoma
WSM
$29.6B
$38K ﹤0.01%
1,052
– –
27 28
29
30 31

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6M
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RFA
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CCT
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Carroll Financial Associates's Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

By sector, the portfolio is most concentrated in Financials at 6.8% of assets, down from 6.9% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.