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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
INFO
701
DELISTED
IHS Markit Ltd. Common Shares
INFO
$49K ﹤0.01%
556
– –
FSKR
702
DELISTED
FS KKR Capital Corp. II
FSKR
$49K ﹤0.01%
3,005
– –
CGW icon
703
Invesco S&P Global Water Index ETF
CGW
$1.07B
$48K ﹤0.01%
1,041
– –
VISN
704
Vistance Networks Inc
VISN
$2.67B
$48K ﹤0.01%
3,642
– –
KOCT icon
705
Innovator US Small Cap Power Buffer ETF October
KOCT
$131M
$48K ﹤0.01%
1,880
-6,810
-78% -$172K
MRVL icon
706
Marvell Technology
MRVL
$199B
$48K ﹤0.01%
1,014
+830
+451% +$35.9K
RSG icon
707
Republic Services
RSG
$66.5B
$48K ﹤0.01%
499
+61
+14% +$5.8K
SCHG icon
708
Schwab US Large-Cap Growth ETF
SCHG
$62.6B
$48K ﹤0.01%
2,992
+1,176
+65% +$17.8K
TYL icon
709
Tyler Technologies
TYL
$13B
$48K ﹤0.01%
111
– –
IGIB icon
710
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$47K ﹤0.01%
772
– –
JPC icon
711
Nuveen Preferred & Income Opportunities Fund
JPC
$2.9B
$47K ﹤0.01%
+5,000
New +$44.4K
PEG icon
712
Public Service Enterprise Group
PEG
$37.9B
$47K ﹤0.01%
822
-2
-0.2% -$116
IXUS icon
713
iShares Core MSCI Total International Stock ETF
IXUS
$60.6B
$46K ﹤0.01%
698
– –
SONY icon
714
Sony
SONY
$137B
$46K ﹤0.01%
2,290
-115
-5% -$2K
TPLC icon
715
Timothy Plan US Large/Mid Cap Core ETF
TPLC
$316M
$46K ﹤0.01%
1,516
– –
VBK icon
716
Vanguard Morningstar Small-Cap Growth ETF
VBK
$24.8B
$46K ﹤0.01%
174
-213
-55% -$51.5K
VBR icon
717
Vanguard Morningstar Small-Cap Value ETF
VBR
$38B
$46K ﹤0.01%
323
+66
+26% +$8.51K
VOD icon
718
Vodafone
VOD
$37.2B
$46K ﹤0.01%
2,835
-40
-1% -$626
WMB icon
719
Williams Companies
WMB
$90.1B
$46K ﹤0.01%
2,301
-103
-4% -$2.09K
ZS icon
720
Zscaler
ZS
$28.6B
$46K ﹤0.01%
233
-92
-28% -$14.6K
WBK
721
DELISTED
Westpac Banking Corporation
WBK
$46K ﹤0.01%
3,144
– –
AAP icon
722
Advance Auto Parts
AAP
$3.21B
$45K ﹤0.01%
+290
New +$44.7K
DMO
723
Western Asset Mortgage Opportunity Fund
DMO
$120M
$45K ﹤0.01%
3,219
-11,000
-77% -$150K
GNRC icon
724
Generac Holdings
GNRC
$13B
$45K ﹤0.01%
200
– –
HLT icon
725
Hilton Worldwide
HLT
$72.7B
$45K ﹤0.01%
409
-5
-1% -$495
27 28
29
30 31

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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.