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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
NVRI icon
751
Enviri
NVRI
$616M
$17K ﹤0.01%
598
– –
PGEN icon
752
Precigen
PGEN
$2.5B
$17K ﹤0.01%
1,000
– –
PIZ icon
753
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$730M
$17K ﹤0.01%
654
– –
SPYG icon
754
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$55.2B
$17K ﹤0.01%
446
– –
AGR
755
DELISTED
Avangrid, Inc.
AGR
$17K ﹤0.01%
360
– –
PXD
756
DELISTED
Pioneer Natural Resource Co.
PXD
$17K ﹤0.01%
100
– –
GFY
757
DELISTED
Western Asset Variable Rate Strategic Fund, Inc
GFY
$17K ﹤0.01%
1,069
– –
BSJJ
758
DELISTED
Invesco BulletShares 2019 High Yield Corporate Bond ETF
BSJJ
$17K ﹤0.01%
725
– –
AABA
759
DELISTED
Altaba Inc
AABA
$17K ﹤0.01%
250
– –
DATA
760
DELISTED
Tableau Software, Inc.
DATA
$17K ﹤0.01%
160
– –
OCLR
761
DELISTED
Oclaro Inc.
OCLR
$17K ﹤0.01%
2,000
– –
AIG icon
762
American International
AIG
$40.7B
$16K ﹤0.01%
309
+4
+1% +$215
AVNS
763
DELISTED
Avanos Medical
AVNS
$16K ﹤0.01%
237
-12
-5% -$772
BDJ icon
764
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.75B
$16K ﹤0.01%
1,723
+26
+2% +$243
BTI icon
765
British American Tobacco
BTI
$123B
$16K ﹤0.01%
361
-10
-3% -$508
DXJ icon
766
WisdomTree Japan Hedged Equity Fund
DXJ
$7.43B
$16K ﹤0.01%
284
– –
EPR icon
767
EPR Properties
EPR
$4.63B
$16K ﹤0.01%
235
– –
ETR icon
768
Entergy
ETR
$49.3B
$16K ﹤0.01%
416
– –
FMS icon
769
Fresenius Medical Care
FMS
$13B
$16K ﹤0.01%
318
– –
FNF icon
770
Fidelity National Financial
FNF
$12.9B
$16K ﹤0.01%
424
+150
+55% +$5.72K
HWM icon
771
Howmet Aerospace
HWM
$113B
$16K ﹤0.01%
973
– –
MTB icon
772
M&T Bank
MTB
$36.3B
$16K ﹤0.01%
100
– –
NPO icon
773
Enpro
NPO
$7.04B
$16K ﹤0.01%
225
– –
RACE icon
774
Ferrari
RACE
$71.4B
$16K ﹤0.01%
120
– –
RBA icon
775
RB Global
RBA
$17.4B
$16K ﹤0.01%
465
– –
29 30
31
32 33

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6M
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RFA
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CCT
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RM
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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.