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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
DBA icon
776
Invesco DB Agriculture Fund
DBA
$1.23B
$31K ﹤0.01%
1,900
– –
IWV icon
777
iShares Russell 3000 ETF
IWV
$20.4B
$31K ﹤0.01%
165
+74
+81% +$13.3K
CXW icon
778
CoreCivic
CXW
$3.19B
$30K ﹤0.01%
1,739
-150
-8% -$2.38K
EQIX icon
779
Equinix
EQIX
$103B
$30K ﹤0.01%
52
-1
-2% -$562
NOC icon
780
Northrop Grumman
NOC
$81.2B
$30K ﹤0.01%
88
-89
-50% -$31.3K
PRNT icon
781
The 3D Printing ETF
PRNT
$65M
$30K ﹤0.01%
1,355
-9,150
-87% -$195K
SCHM icon
782
Schwab US Mid-Cap ETF
SCHM
$15.1B
$30K ﹤0.01%
1,500
– –
AEG icon
783
Aegon
AEG
$14.1B
$29K ﹤0.01%
7,127
– –
AFG icon
784
American Financial Group
AFG
$12.1B
$29K ﹤0.01%
270
– –
BF.B icon
785
Brown-Forman Class B
BF.B
$13.1B
$29K ﹤0.01%
434
– –
DIAL icon
786
Columbia Diversified Fixed Income Allocation ETF
DIAL
$388M
$29K ﹤0.01%
1,397
+606
+77% +$12.6K
FBT icon
787
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.78B
$29K ﹤0.01%
201
+40
+25% +$5.49K
FDL icon
788
First Trust Morningstar Dividend Leaders Index Fund
FDL
$7.84B
$29K ﹤0.01%
910
– –
PARA
789
DELISTED
Paramount Global Class B
PARA
$29K ﹤0.01%
709
+162
+30% +$6.28K
SPR
790
DELISTED
Spirit AeroSystems
SPR
$29K ﹤0.01%
400
+250
+167% +$20.6K
SYKE
791
DELISTED
SYKES Enterprises Inc
SYKE
$29K ﹤0.01%
800
– –
CHL
792
DELISTED
China Mobile Limited
CHL
$29K ﹤0.01%
708
+131
+23% +$5.29K
ERC
793
Allspring Multi-Sector Income Fund
ERC
$259M
$28K ﹤0.01%
2,235
– –
EXPE icon
794
Expedia Group
EXPE
$37.3B
$28K ﹤0.01%
260
– –
IWN icon
795
iShares Russell 2000 Value ETF
IWN
$14.6B
$28K ﹤0.01%
221
+40
+22% +$4.95K
PSLV icon
796
Sprott Physical Silver Trust
PSLV
$13.2B
$28K ﹤0.01%
4,291
– –
TCRT icon
797
Alaunos Therapeutics
TCRT
$4.86M
$28K ﹤0.01%
40
– –
ABB
798
DELISTED
ABB Ltd
ABB
$28K ﹤0.01%
1,179
+586
+99% +$12.6K
CBL
799
DELISTED
CBL& Associates Properties, Inc.
CBL
$28K ﹤0.01%
27,600
– –
CRSP icon
800
CRISPR Therapeutics
CRSP
$5.17B
$27K ﹤0.01%
450
– –
30 31
32
33 34

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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.