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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FLXN
751
DELISTED
Flexion Therapeutics, Inc.
FLXN
$27K ﹤0.01%
2,000
– –
CHKP icon
752
Check Point Software Technologies
CHKP
$13.3B
$26K ﹤0.01%
243
– –
CTSH icon
753
Cognizant
CTSH
$26B
$26K ﹤0.01%
442
– –
DIAX
754
DELISTED
Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX
$26K ﹤0.01%
1,500
– –
PSLV icon
755
Sprott Physical Silver Trust
PSLV
$13.5B
$26K ﹤0.01%
4,291
– –
RPG icon
756
Invesco S&P 500 Pure Growth ETF
RPG
$2.04B
$26K ﹤0.01%
1,100
– –
SBAC icon
757
SBA Communications
SBAC
$19.2B
$26K ﹤0.01%
109
-7
-6% -$1.73K
UTG icon
758
Reaves Utility Income Fund
UTG
$3.6B
$26K ﹤0.01%
726
– –
DCP
759
DELISTED
DCP Midstream, LP
DCP
$26K ﹤0.01%
1,000
– –
INFO
760
DELISTED
IHS Markit Ltd. Common Shares
INFO
$26K ﹤0.01%
397
-16
-4% -$1.05K
FAD icon
761
First Trust Multi Cap Growth AlphaDEX Fund
FAD
$593M
$25K ﹤0.01%
+353
New +$26.4K
FTA icon
762
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.41B
$25K ﹤0.01%
490
– –
ISRG icon
763
Intuitive Surgical
ISRG
$137B
$25K ﹤0.01%
144
– –
SCHF icon
764
Schwab International Equity ETF
SCHF
$68.4B
$25K ﹤0.01%
1,610
-256
-14% -$4.03K
TCRT icon
765
Alaunos Therapeutics
TCRT
$4.76M
$25K ﹤0.01%
40
– –
TEL icon
766
TE Connectivity
TEL
$62.5B
$25K ﹤0.01%
275
– –
VDE icon
767
Vanguard Energy ETF
VDE
$10.2B
$25K ﹤0.01%
326
-12
-4% -$961
WAB icon
768
Wabtec
WAB
$49.3B
$25K ﹤0.01%
348
-49
-12% -$3.48K
IBKC
769
DELISTED
IBERIABANK Corp
IBKC
$25K ﹤0.01%
340
– –
CMP icon
770
Compass Minerals
CMP
$1.12B
$24K ﹤0.01%
425
-70
-14% -$3.75K
CSGP icon
771
CoStar Group
CSGP
$12.4B
$24K ﹤0.01%
410
-90
-18% -$5.39K
DAL icon
772
Delta Air Lines
DAL
$59.2B
$24K ﹤0.01%
422
-201
-32% -$11.9K
EFR
773
Eaton Vance Senior Floating-Rate Fund
EFR
$319M
$24K ﹤0.01%
1,900
– –
ERIE icon
774
Erie Indemnity
ERIE
$13.1B
$24K ﹤0.01%
131
– –
HEI icon
775
HEICO Corp
HEI
$51.3B
$24K ﹤0.01%
193
– –
29 30
31
32 33

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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

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

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.