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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
BAC icon
51
Bank of America
BAC
$446B
$5.15M 0.34%
169,807
-6,097
-3% -$163K
KOMP icon
52
State Street SPDR S&P Kensho New Economies Composite ETF
KOMP
$2.8B
$4.32M 0.29%
75,006
-12,060
-14% -$604K
IVW icon
53
iShares S&P 500 Growth ETF
IVW
$77.7B
$4.21M 0.28%
65,954
-6,714
-9% -$407K
SCHD icon
54
Schwab US Dividend Equity ETF
SCHD
$107B
$4.13M 0.27%
192,942
+37,335
+24% +$757K
AIQ icon
55
Global X Artificial Intelligence & Technology ETF
AIQ
$10.3B
$3.88M 0.26%
142,819
-16,741
-10% -$425K
ENB icon
56
Enbridge
ENB
$111B
$3.83M 0.26%
119,896
+1,795
+2% +$54.6K
EMBD icon
57
Global X Emerging Markets Bond ETF
EMBD
$249M
$3.78M 0.25%
136,184
+54,042
+66% +$1.47M
VXF icon
58
Vanguard Extended Market ETF
VXF
$31.8B
$3.77M 0.25%
22,876
+1,303
+6% +$193K
QUAL icon
59
iShares MSCI USA Quality Factor ETF
QUAL
$48.1B
$3.76M 0.25%
32,344
+1,225
+4% +$135K
FNDX icon
60
Schwab Fundamental US Large Company Index ETF
FNDX
$27.4B
$3.72M 0.25%
246,333
-16,548
-6% -$233K
MNA icon
61
IQ ARB Merger Arbitrage ETF
MNA
$253M
$3.7M 0.25%
111,106
+9,416
+9% +$320K
PEP icon
62
PepsiCo
PEP
$188B
$3.66M 0.24%
24,707
-51
-0.2% -$7.25K
HDEF icon
63
Xtrackers MSCI EAFE High Dividend Yield Equity ETF
HDEF
$2.35B
$3.5M 0.23%
150,904
+8,037
+6% +$176K
KO icon
64
Coca-Cola
KO
$376B
$3.47M 0.23%
63,256
-1,029
-2% -$53.2K
PXH icon
65
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.98B
$3.46M 0.23%
163,557
+14,577
+10% +$282K
VTI icon
66
Vanguard Morningstar Total Stock Market ETF
VTI
$692B
$3.41M 0.23%
17,522
+811
+5% +$148K
FTCS icon
67
First Trust Capital Strength ETF
FTCS
$7.99B
$3.23M 0.22%
47,872
-536
-1% -$35K
ITOT icon
68
iShares Core S&P Total US Stock Market ETF
ITOT
$97.9B
$3.22M 0.21%
37,339
-16,509
-31% -$1.34M
HD icon
69
Home Depot
HD
$348B
$3.18M 0.21%
11,966
+329
+3% +$90.4K
FLOT icon
70
iShares Floating Rate Bond ETF
FLOT
$10.5B
$3.15M 0.21%
62,194
+753
+1% +$38.2K
CSCO icon
71
Cisco
CSCO
$486B
$3.09M 0.21%
69,018
-1,262
-2% -$51.9K
SPLV icon
72
Invesco S&P 500 Low Volatility ETF
SPLV
$7.17B
$3.05M 0.2%
54,281
-251
-0.5% -$13.8K
MINT icon
73
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17.1B
$3.05M 0.2%
29,862
+307
+1% +$31.3K
PREF icon
74
Principal Spectrum Preferred Securities Active ETF
PREF
$1.78B
$2.99M 0.2%
144,628
+48,534
+51% +$988K
VZ icon
75
Verizon
VZ
$194B
$2.95M 0.2%
50,189
-1,665
-3% -$98.9K
1 2
3
4 5

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NFG
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6M
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RFA
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CCT
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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.