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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
-0.55%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.79B
AUM Growth
+$22.2M
Cap. Flow
+$37.5M
Cap. Flow %
2.1%
Top 10 Hldgs %
43.07%
Holding
2,036
New
245
Increased
533
Reduced
393
Closed
104

Top Buys

Rank Stock Value
1
ARMR
Armor US Equity Index ETF
ARMR
+$16.3M
2
SPD icon
Simplify US Equity PLUS Downside Convexity ETF
SPD
+$9.62M
3
VFMF icon
Vanguard US Multifactor ETF
VFMF
+$4.73M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.93M
5
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$3.78M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.86M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.21M
3
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$2.99M
4
ADER
26 Capital Acquisition Corp
ADER
+$2.49M
5
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$1.98M

Sector Composition

Rank Sector Weight
1 Technology 6.94%
2 Financials 5.81%
3 Healthcare 2.4%
4 Consumer Discretionary 2.07%
5 Consumer Staples 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFE icon
51
Pfizer
PFE
$153B
$6.06M 0.34%
140,978
-1,949
-1% -$86.3K
EJAN icon
52
Innovator Emerging Markets Power Buffer ETF January
EJAN
$147M
$5.83M 0.33%
194,710
+1,600
+0.8% +$48.6K
SPMD icon
53
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.9B
$5.73M 0.32%
124,092
+13,138
+12% +$620K
PG icon
54
Procter & Gamble
PG
$339B
$5.69M 0.32%
40,694
-300
-0.7% -$42.5K
PREF icon
55
Principal Spectrum Preferred Securities Active ETF
PREF
$1.78B
$5.66M 0.32%
272,960
+50,641
+23% +$1.05M
QUAL icon
56
iShares MSCI USA Quality Factor ETF
QUAL
$48.1B
$5.65M 0.32%
42,906
+3,331
+8% +$458K
VFMF icon
57
Vanguard US Multifactor ETF
VFMF
$920M
$5.63M 0.31%
56,496
+46,984
+494% +$4.73M
NCNO icon
58
nCino
NCNO
$2.1B
$5.33M 0.3%
75,000
– –
DIS icon
59
Walt Disney
DIS
$181B
$5.17M 0.29%
30,533
+145
+0.5% +$25.8K
ENB icon
60
Enbridge
ENB
$112B
$5.02M 0.28%
125,998
+9,576
+8% +$378K
HDEF icon
61
Xtrackers MSCI EAFE High Dividend Yield Equity ETF
HDEF
$2.36B
$4.98M 0.28%
219,130
+36,485
+20% +$882K
MNA icon
62
IQ ARB Merger Arbitrage ETF
MNA
$253M
$4.9M 0.27%
148,966
+16,987
+13% +$563K
VCSH icon
63
Vanguard Short-Term Corporate Bond ETF
VCSH
$45B
$4.83M 0.27%
58,679
-2,594
-4% -$214K
CSB icon
64
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
$266M
$4.83M 0.27%
84,127
+4,901
+6% +$288K
AIQ icon
65
Global X Artificial Intelligence & Technology ETF
AIQ
$10.2B
$4.73M 0.26%
155,973
+6,606
+4% +$204K
VXF icon
66
Vanguard Extended Market ETF
VXF
$31.9B
$4.52M 0.25%
24,770
-611
-2% -$114K
GOOGL icon
67
Alphabet (Google) Class A
GOOGL
$4.33T
$4.38M 0.24%
32,740
-140
-0.4% -$19.1K
HD icon
68
Home Depot
HD
$355B
$4.25M 0.24%
12,945
+933
+8% +$306K
PXH icon
69
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.98B
$4.15M 0.23%
185,688
+7,118
+4% +$162K
FCNCA icon
70
First Citizens BancShares
FCNCA
$25.3B
$4.1M 0.23%
4,860
-220
-4% -$183K
GOOG icon
71
Alphabet (Google) Class C
GOOG
$4.32T
$4M 0.22%
30,040
– –
SHY icon
72
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$3.99M 0.22%
46,275
+386
+0.8% +$33.3K
DIVO icon
73
Amplify CWP Enhanced Dividend Income ETF
DIVO
$7.78B
$3.98M 0.22%
113,907
+23,343
+26% +$847K
PXF icon
74
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
$2.96B
$3.95M 0.22%
84,324
+18,418
+28% +$883K
VTV icon
75
Vanguard Morningstar Value ETF
VTV
$192B
$3.9M 0.22%
28,819
+12,034
+72% +$1.68M
1 2
3
4 5

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TU
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NFG
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6M
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RFA
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CCT
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C
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CC
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RM
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Carroll Financial Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Carroll Financial Associates held 2,036 positions worth $1.79B, up 1.3% from $1.77B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Carroll Financial Associates's Q3 2021 filing shows 245 new, 533 increased, 393 reduced and 104 closed positions. Its largest new stake was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $8.86M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2021 buy was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M.
  • Carroll Financial Associates added most to Armor US Equity Index ETF in Q3 2021, an estimated $16.3M increase.
  • Carroll Financial Associates's biggest Q3 2021 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.86M.
  • Carroll Financial Associates fully exited VanEck Semiconductor ETF in Q3 2021, selling an estimated $838K.
  • Carroll Financial Associates's ten largest holdings make up 43% of its $1.79B portfolio in Q3 2021.
  • Carroll Financial Associates opened 245 new positions and closed 104 in Q3 2021.
  • Carroll Financial Associates's portfolio value rose 1.3% quarter-over-quarter to $1.79B.

Based on Carroll Financial Associates's 13F filing for Q3 2021, filed 7 Oct 2021.