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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
FLOT icon
51
iShares Floating Rate Bond ETF
FLOT
$10.3B
$3.46M 0.28%
68,031
+1,365
+2% +$69.5K
PEP icon
52
PepsiCo
PEP
$190B
$3.45M 0.27%
25,242
-80
-0.3% -$10.9K
SCHX icon
53
Schwab US Large- Cap ETF
SCHX
$74.5B
$3.39M 0.27%
264,624
+15,192
+6% +$186K
DGRO icon
54
iShares Core Dividend Growth ETF
DGRO
$43.5B
$3.31M 0.26%
78,768
+5,254
+7% +$213K
FCNCA icon
55
First Citizens BancShares
FCNCA
$25.3B
$3.19M 0.25%
6,000
– –
CVX icon
56
Chevron
CVX
$366B
$3.13M 0.25%
25,957
-1,587
-6% -$187K
VZ icon
57
Verizon
VZ
$196B
$3.08M 0.25%
50,246
-3,687
-7% -$222K
ISTB icon
58
iShares Core 1-5 Year USD Bond ETF
ISTB
$5.13B
$3.08M 0.25%
61,192
+27,498
+82% +$1.39M
SPLV icon
59
Invesco S&P 500 Low Volatility ETF
SPLV
$7.21B
$3.08M 0.24%
52,714
+1,346
+3% +$77.2K
QUAL icon
60
iShares MSCI USA Quality Factor ETF
QUAL
$47.9B
$3.01M 0.24%
29,774
+11,657
+64% +$1.12M
RY icon
61
Royal Bank of Canada
RY
$293B
$2.88M 0.23%
36,378
-195
-0.5% -$15.7K
VXF icon
62
Vanguard Extended Market ETF
VXF
$31.7B
$2.8M 0.22%
22,219
+1,005
+5% +$121K
PCY icon
63
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.4B
$2.76M 0.22%
93,259
+37,644
+68% +$1.1M
VO icon
64
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$2.75M 0.22%
61,748
+54,428
+744% +$2.34M
VUG icon
65
Vanguard Morningstar Growth ETF
VUG
$231B
$2.72M 0.22%
89,634
-510
-0.6% -$14.7K
KOMP icon
66
State Street SPDR S&P Kensho New Economies Composite ETF
KOMP
$2.81B
$2.71M 0.22%
75,246
+52,710
+234% +$1.81M
SON icon
67
Sonoco
SON
$5.74B
$2.71M 0.22%
43,979
+2
+0% +$118
MINT icon
68
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17B
$2.71M 0.22%
26,644
+205
+0.8% +$20.8K
AIQ icon
69
Global X Artificial Intelligence & Technology ETF
AIQ
$11B
$2.7M 0.21%
150,800
+5,712
+4% +$96K
VTV icon
70
Vanguard Morningstar Value ETF
VTV
$191B
$2.65M 0.21%
22,076
+6,101
+38% +$704K
AMZN icon
71
Amazon
AMZN
$2.96T
$2.64M 0.21%
28,620
+1,580
+6% +$140K
MDYV icon
72
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
$2.83B
$2.52M 0.2%
+46,097
New +$2.43M
SO icon
73
Southern Company
SO
$107B
$2.52M 0.2%
39,576
+1,525
+4% +$94.5K
MDYG icon
74
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.95B
$2.52M 0.2%
44,121
-24,019
-35% -$1.32M
WFC icon
75
Wells Fargo
WFC
$264B
$2.49M 0.2%
46,375
+4,212
+10% +$221K
1 2
3
4 5

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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.