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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TAP icon
726
Molson Coors Class B
TAP
$7.93B
$19K ﹤0.01%
309
+2
+0.7% +$132
TCRT icon
727
Alaunos Therapeutics
TCRT
$4.84M
$19K ﹤0.01%
40
– –
TD icon
728
Toronto Dominion Bank
TD
$200B
$19K ﹤0.01%
318
– –
TRIP icon
729
TripAdvisor
TRIP
$1.26B
$19K ﹤0.01%
380
– –
JPS
730
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$19K ﹤0.01%
2,239
+42
+2% +$372
VER
731
DELISTED
VEREIT, Inc.
VER
$19K ﹤0.01%
531
– –
NNC
732
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
$19K ﹤0.01%
1,627
– –
IRR
733
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$19K ﹤0.01%
3,000
– –
FHI icon
734
Federated Hermes
FHI
$4.71B
$18K ﹤0.01%
758
+23
+3% +$541
IIIN icon
735
Insteel Industries
IIIN
$626M
$18K ﹤0.01%
+524
New +$20.1K
JNK icon
736
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.3B
$18K ﹤0.01%
173
– –
NCZ
737
Virtus Convertible & Income Fund II
NCZ
$305M
$18K ﹤0.01%
750
– –
NUV icon
738
Nuveen Municipal Value Fund
NUV
$1.91B
$18K ﹤0.01%
2,000
– –
SLX icon
739
VanEck Steel ETF
SLX
$176M
$18K ﹤0.01%
402
– –
SPG icon
740
Simon Property Group
SPG
$71.5B
$18K ﹤0.01%
107
+1
+0.9% +$177
UNIT
741
Uniti Group
UNIT
$2.28B
$18K ﹤0.01%
+900
New +$17.8K
GAP
742
The Gap Inc
GAP
$7.74B
$18K ﹤0.01%
635
-2
-0.3% -$60
FRC
743
DELISTED
First Republic Bank
FRC
$18K ﹤0.01%
190
+57
+43% +$5.74K
FLXN
744
DELISTED
Flexion Therapeutics, Inc.
FLXN
$18K ﹤0.01%
1,000
– –
IBKC
745
DELISTED
IBERIABANK Corp
IBKC
$18K ﹤0.01%
230
– –
ABEV icon
746
Ambev
ABEV
$45.4B
$17K ﹤0.01%
3,862
+2,756
+249% +$13.1K
IYJ icon
747
iShares US Industrials ETF
IYJ
$1.94B
$17K ﹤0.01%
+222
New +$16.9K
KYN icon
748
Kayne Anderson Energy Infrastructure Fund
KYN
$2.45B
$17K ﹤0.01%
1,000
– –
MPLX icon
749
MPLX
MPLX
$59.5B
$17K ﹤0.01%
496
+102
+26% +$3.65K
NEA icon
750
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.41B
$17K ﹤0.01%
1,398
– –
28 29
30
31 32

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RFA
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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.