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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
COUP
726
DELISTED
Coupa Software Incorporated
COUP
$38K ﹤0.01%
+266
New +$38K
ALK icon
727
Alaska Air
ALK
$5.58B
$37K ﹤0.01%
556
– –
HIW icon
728
Highwoods Properties
HIW
$3.47B
$37K ﹤0.01%
762
+2
+0.3% +$93
LSCC icon
729
Lattice Semiconductor
LSCC
$18.5B
$37K ﹤0.01%
+1,955
New +$37.5K
PTF icon
730
Invesco Dorsey Wright Technology Momentum ETF
PTF
$643M
$37K ﹤0.01%
1,440
– –
TPHD icon
731
Timothy Plan High Dividend Stock ETF
TPHD
$367M
$37K ﹤0.01%
1,378
+130
+10% +$3.39K
VYMI icon
732
Vanguard International High Dividend Yield ETF
VYMI
$21.3B
$37K ﹤0.01%
590
– –
JD icon
733
JD.com
JD
$44.5B
$36K ﹤0.01%
+1,032
New +$33.3K
LYG icon
734
Lloyds Banking Group
LYG
$91.3B
$36K ﹤0.01%
+11,017
New +$33.3K
MLCO icon
735
Melco Resorts & Entertainment
MLCO
$2.14B
$36K ﹤0.01%
+1,501
New +$32.6K
PANW icon
736
Palo Alto Networks
PANW
$297B
$36K ﹤0.01%
954
– –
PGZ
737
Principal Real Estate Income Fund
PGZ
$68.7M
$36K ﹤0.01%
1,750
– –
XLB icon
738
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$36K ﹤0.01%
1,188
+130
+12% +$3.84K
MDRX
739
DELISTED
Veradigm Inc. Common Stock
MDRX
$36K ﹤0.01%
+3,682
New +$38.8K
FTV icon
740
Fortive
FTV
$18.6B
$35K ﹤0.01%
737
-630
-46% -$28.5K
GSEW icon
741
Goldman Sachs Equal Weight US Large Cap Equity ETF
GSEW
$2.04B
$35K ﹤0.01%
700
-5,100
-88% -$248K
HLT icon
742
Hilton Worldwide
HLT
$71.5B
$35K ﹤0.01%
318
– –
LPSN icon
743
LivePerson
LPSN
$32.3M
$35K ﹤0.01%
+64
New +$36.7K
MSTR icon
744
Strategy Inc
MSTR
$38.4B
$35K ﹤0.01%
+2,510
New +$37.4K
QCLN icon
745
First Trust NASDAQ Clean Edge Green Energy Index Fund
QCLN
$629M
$35K ﹤0.01%
1,435
– –
UYG icon
746
ProShares Ultra Financials
UYG
$845M
$35K ﹤0.01%
660
– –
VEEV icon
747
Veeva Systems
VEEV
$37.4B
$35K ﹤0.01%
249
– –
AIG icon
748
American International
AIG
$41.3B
$34K ﹤0.01%
671
+35
+6% +$1.85K
AVB icon
749
AvalonBay Communities
AVB
$26.8B
$34K ﹤0.01%
164
-889
-84% -$190K
DHS icon
750
WisdomTree US High Dividend Fund
DHS
$1.58B
$34K ﹤0.01%
450
– –
28 29
30
31 32

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RFA
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Carroll Financial Associates's Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

By sector, the portfolio is most concentrated in Financials at 6.8% of assets, down from 6.9% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.