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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
MNDT
751
DELISTED
Mandiant, Inc. Common Stock
MNDT
$15K ﹤0.01%
943
– –
IBKC
752
DELISTED
IBERIABANK Corp
IBKC
$15K ﹤0.01%
230
– –
APU
753
DELISTED
AmeriGas Partners, L.P.
APU
$15K ﹤0.01%
528
+380
+257% +$13.2K
ADI icon
754
Analog Devices
ADI
$190B
$14K ﹤0.01%
176
-302
-63% -$26.1K
BDJ icon
755
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.73B
$14K ﹤0.01%
1,753
+30
+2% +$255
BKLN icon
756
Invesco Senior Loan ETF
BKLN
$6.74B
$14K ﹤0.01%
640
– –
CBRE icon
757
CBRE Group
CBRE
$42.9B
$14K ﹤0.01%
369
+17
+5% +$703
EQIX icon
758
Equinix
EQIX
$103B
$14K ﹤0.01%
41
+9
+28% +$3.51K
FFC
759
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$782M
$14K ﹤0.01%
800
-685
-46% -$11.6K
HCSG icon
760
Healthcare Services Group
HCSG
$1.53B
$14K ﹤0.01%
353
– –
HWM icon
761
Howmet Aerospace
HWM
$112B
$14K ﹤0.01%
973
– –
IYE icon
762
iShares US Energy ETF
IYE
$1.7B
$14K ﹤0.01%
450
-910
-67% -$33.5K
LEA icon
763
Lear
LEA
$8.18B
$14K ﹤0.01%
106
– –
P
764
Everpure Inc
P
$29.9B
$14K ﹤0.01%
874
– –
RWX icon
765
State Street SPDR Dow Jones International Real Estate ETF
RWX
$270M
$14K ﹤0.01%
409
+117
+40% +$4.31K
SLAB icon
766
Silicon Laboratories
SLAB
$7.23B
$14K ﹤0.01%
+175
New +$14.5K
SLX icon
767
VanEck Steel ETF
SLX
$176M
$14K ﹤0.01%
402
– –
SPYG icon
768
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$55.4B
$14K ﹤0.01%
446
– –
VCIT icon
769
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$67.8B
$14K ﹤0.01%
181
– –
WAT icon
770
Waters Corp
WAT
$39.9B
$14K ﹤0.01%
80
– –
AABA
771
DELISTED
Altaba Inc
AABA
$14K ﹤0.01%
250
– –
CVSA
772
Covista Inc
CVSA
$4.8B
$13K ﹤0.01%
+275
New +$14.1K
CHE icon
773
Chemed
CHE
$7.22B
$13K ﹤0.01%
50
– –
DXJ icon
774
WisdomTree Japan Hedged Equity Fund
DXJ
$7.42B
$13K ﹤0.01%
284
– –
EPP icon
775
iShares MSCI Pacific ex Japan ETF
EPP
$2.28B
$13K ﹤0.01%
328
– –
29 30
31
32 33

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6M
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RFA
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CCT
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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.