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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
EQR icon
751
Equity Residential
EQR
$25.1B
$34K ﹤0.01%
422
-2,350
-85% -$200K
FXG icon
752
First Trust Consumer Staples AlphaDEX Fund
FXG
$231M
$34K ﹤0.01%
693
+254
+58% +$12.3K
JNK icon
753
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.31B
$34K ﹤0.01%
312
-36
-10% -$3.9K
NG icon
754
NovaGold Resources
NG
$3.33B
$34K ﹤0.01%
3,800
– –
TDG icon
755
TransDigm Group
TDG
$67.7B
$34K ﹤0.01%
62
– –
XYZ
756
Block Inc
XYZ
$47.5B
$34K ﹤0.01%
553
– –
AEM icon
757
Agnico Eagle Mines
AEM
$90.5B
$33K ﹤0.01%
546
– –
APPN icon
758
Appian
APPN
$2.48B
$33K ﹤0.01%
+886
New +$38.2K
COHR icon
759
Coherent
COHR
$74.2B
$33K ﹤0.01%
1,000
– –
GNTX icon
760
Gentex
GNTX
$5.07B
$33K ﹤0.01%
1,152
– –
GVI icon
761
iShares Intermediate Government/Credit Bond ETF
GVI
$3.8B
$33K ﹤0.01%
300
– –
LFUS icon
762
Littelfuse
LFUS
$11.6B
$33K ﹤0.01%
173
+150
+652% +$27.5K
VRSK icon
763
Verisk Analytics
VRSK
$25B
$33K ﹤0.01%
222
-214
-49% -$31.7K
WBA
764
DELISTED
Walgreens Boots Alliance
WBA
$33K ﹤0.01%
576
-300
-34% -$17.3K
AVY icon
765
Avery Dennison
AVY
$13.4B
$32K ﹤0.01%
246
– –
CQP icon
766
Cheniere Energy
CQP
$31.3B
$32K ﹤0.01%
808
– –
DELL icon
767
Dell
DELL
$293B
$32K ﹤0.01%
1,253
– –
EDU icon
768
New Oriental
EDU
$8.98B
$32K ﹤0.01%
+271
New +$32.4K
FTNT icon
769
Fortinet
FTNT
$117B
$32K ﹤0.01%
+1,500
New +$28.2K
ILCG icon
770
iShares Morningstar Growth ETF
ILCG
$3.28B
$32K ﹤0.01%
775
– –
ING icon
771
ING
ING
$102B
$32K ﹤0.01%
2,692
– –
SCHG icon
772
Schwab US Large-Cap Growth ETF
SCHG
$62.9B
$32K ﹤0.01%
2,768
– –
SHV icon
773
iShares 0-1 Year Treasury Bond ETF
SHV
$20.6B
$32K ﹤0.01%
293
-96
-25% -$10.6K
LSXMK
774
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
$32K ﹤0.01%
886
– –
CP icon
775
Canadian Pacific Kansas City
CP
$80.5B
$31K ﹤0.01%
625
– –
29 30
31
32 33

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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.