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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
-12.12%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$899M
AUM Growth
-$46.6M
Cap. Flow
+$64.5M
Cap. Flow %
7.17%
Top 10 Hldgs %
51.54%
Holding
1,465
New
87
Increased
269
Reduced
314
Closed
79

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$95.8M
2
ARKK icon
ARK Innovation ETF
ARKK
+$3.83M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.05M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$2.76M
5
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$2.26M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$26.6M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.04M
3
RTX icon
RTX Corp
RTX
+$4.17M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.03M
5
RNRG icon
Global X Renewable Energy Producers ETF
RNRG
+$3.43M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Technology 5.12%
3 Healthcare 3.27%
4 Energy 2.86%
5 Consumer Staples 2.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HES
726
DELISTED
Hess
HES
$16K ﹤0.01%
346
-157
-31% -$8.95K
HSBC icon
727
HSBC
HSBC
$356B
$16K ﹤0.01%
408
-91
-18% -$3.64K
IYT icon
728
iShares US Transportation ETF
IYT
$2.28B
$16K ﹤0.01%
404
+4
+1% +$185
K
729
DELISTED
Kellanova
K
$16K ﹤0.01%
307
-106
-26% -$6.4K
MPLX icon
730
MPLX
MPLX
$59.7B
$16K ﹤0.01%
496
– –
PARA
731
DELISTED
Paramount Global Class B
PARA
$16K ﹤0.01%
338
– –
PCN
732
PIMCO Corporate & Income Strategy Fund
PCN
$885M
$16K ﹤0.01%
1,080
– –
PHG icon
733
Philips
PHG
$26.1B
$16K ﹤0.01%
608
+64
+12% +$1.89K
PUK icon
734
Prudential
PUK
$35.2B
$16K ﹤0.01%
467
– –
XLRE icon
735
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.65B
$16K ﹤0.01%
535
+40
+8% +$1.3K
GAP
736
The Gap Inc
GAP
$7.37B
$16K ﹤0.01%
635
– –
FRC
737
DELISTED
First Republic Bank
FRC
$16K ﹤0.01%
190
– –
GFY
738
DELISTED
Western Asset Variable Rate Strategic Fund, Inc
GFY
$16K ﹤0.01%
1,069
– –
FNG
739
DELISTED
AdvisorShares New Tech and Media ETF
FNG
$16K ﹤0.01%
+1,025
New +$18.5K
ULTI
740
DELISTED
Ultimate Software Group Inc
ULTI
$16K ﹤0.01%
65
– –
BKD icon
741
Brookdale Senior Living
BKD
$3.4B
$15K ﹤0.01%
2,167
– –
CRSP icon
742
CRISPR Therapeutics
CRSP
$5.17B
$15K ﹤0.01%
450
– –
EEM icon
743
iShares MSCI Emerging Markets ETF
EEM
$30B
$15K ﹤0.01%
389
+97
+33% +$3.89K
KYN icon
744
Kayne Anderson Energy Infrastructure Fund
KYN
$2.4B
$15K ﹤0.01%
1,000
– –
MTB icon
745
M&T Bank
MTB
$36.2B
$15K ﹤0.01%
100
– –
PIZ icon
746
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$735M
$15K ﹤0.01%
654
– –
PRLB icon
747
Protolabs
PRLB
$2.13B
$15K ﹤0.01%
135
-5
-4% -$617
RBA icon
748
RB Global
RBA
$17.5B
$15K ﹤0.01%
450
-15
-3% -$504
PXD
749
DELISTED
Pioneer Natural Resource Co.
PXD
$15K ﹤0.01%
108
+8
+8% +$1.22K
MDC
750
DELISTED
M.D.C. Holdings, Inc.
MDC
$15K ﹤0.01%
+591
New +$14.3K
28 29
30
31 32

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Carroll Financial Associates's Q4 2018 Portfolio in Review

As of Q4 2018, Carroll Financial Associates held 1,465 positions worth $899M, down 4.9% from $945M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Carroll Financial Associates deployed $64.5M of net new capital in Q4 2018, opening 87 new positions and adding to 269 existing holdings. Its largest new stake was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, down from 8% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $26.6M trimmed.

  • Carroll Financial Associates's largest Q4 2018 buy was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.
  • Carroll Financial Associates added most to ARK Innovation ETF in Q4 2018, an estimated $3.83M increase.
  • Carroll Financial Associates's biggest Q4 2018 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $26.6M.
  • Carroll Financial Associates fully exited Aetna Inc in Q4 2018, selling an estimated $1.34M.
  • Carroll Financial Associates's ten largest holdings make up 52% of its $899M portfolio in Q4 2018.
  • Carroll Financial Associates opened 87 new positions and closed 79 in Q4 2018.
  • Carroll Financial Associates's portfolio value fell 4.9% quarter-over-quarter to $899M.

Based on Carroll Financial Associates's 13F filing for Q4 2018, filed 11 Jan 2019.