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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPEM icon
51
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17.7B
$4.05M 0.31%
110,816
+1,153
+1% +$42.1K
AIQ icon
52
Global X Artificial Intelligence & Technology ETF
AIQ
$10.3B
$3.75M 0.29%
159,560
-538
-0.3% -$12.2K
PDEC icon
53
Innovator US Equity Power Buffer ETF December
PDEC
$997M
$3.74M 0.29%
135,248
+59,197
+78% +$1.62M
KOMP icon
54
State Street SPDR S&P Kensho New Economies Composite ETF
KOMP
$2.8B
$3.73M 0.29%
87,066
+11,740
+16% +$484K
DIS icon
55
Walt Disney
DIS
$179B
$3.67M 0.28%
29,571
-1,422
-5% -$178K
ENB icon
56
Enbridge
ENB
$112B
$3.45M 0.27%
118,101
+1,501
+1% +$47.2K
PEP icon
57
PepsiCo
PEP
$189B
$3.43M 0.26%
24,758
+71
+0.3% +$9.66K
MNA icon
58
IQ ARB Merger Arbitrage ETF
MNA
$253M
$3.42M 0.26%
101,690
+18,185
+22% +$586K
FNDX icon
59
Schwab Fundamental US Large Company Index ETF
FNDX
$27.4B
$3.39M 0.26%
262,881
-10,440
-4% -$136K
HD icon
60
Home Depot
HD
$348B
$3.23M 0.25%
11,637
+19
+0.2% +$5.15K
QUAL icon
61
iShares MSCI USA Quality Factor ETF
QUAL
$48.1B
$3.23M 0.25%
31,119
+2,552
+9% +$261K
KO icon
62
Coca-Cola
KO
$376B
$3.17M 0.24%
64,285
-6,830
-10% -$328K
SPMD icon
63
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.9B
$3.16M 0.24%
96,848
-6,058
-6% -$199K
FLOT icon
64
iShares Floating Rate Bond ETF
FLOT
$10.5B
$3.12M 0.24%
61,441
-5,830
-9% -$295K
VZ icon
65
Verizon
VZ
$194B
$3.08M 0.24%
51,854
+239
+0.5% +$13.9K
FTCS icon
66
First Trust Capital Strength ETF
FTCS
$8B
$3.06M 0.24%
48,408
+3,038
+7% +$190K
MINT icon
67
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17.1B
$3.01M 0.23%
29,555
+3,960
+15% +$403K
SPLV icon
68
Invesco S&P 500 Low Volatility ETF
SPLV
$7.19B
$2.92M 0.23%
54,532
+136
+0.3% +$7.22K
HDEF icon
69
Xtrackers MSCI EAFE High Dividend Yield Equity ETF
HDEF
$2.35B
$2.91M 0.22%
142,867
+10,760
+8% +$225K
SCHD icon
70
Schwab US Dividend Equity ETF
SCHD
$107B
$2.87M 0.22%
155,607
+19,002
+14% +$350K
T icon
71
AT&T
T
$163B
$2.85M 0.22%
132,172
-2,934
-2% -$65.6K
VTI icon
72
Vanguard Morningstar Total Stock Market ETF
VTI
$692B
$2.85M 0.22%
16,711
+2,612
+19% +$439K
VXF icon
73
Vanguard Extended Market ETF
VXF
$31.9B
$2.8M 0.22%
21,573
+1,582
+8% +$201K
CSCO icon
74
Cisco
CSCO
$486B
$2.77M 0.21%
70,280
-625
-0.9% -$27.2K
MCD icon
75
McDonald's
MCD
$194B
$2.67M 0.21%
12,155
-179
-1% -$36.7K
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 Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.