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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UBSI icon
776
United Bankshares
UBSI
$6.68B
$36K ﹤0.01%
1,137
– –
AEM icon
777
Agnico Eagle Mines
AEM
$91.2B
$35K ﹤0.01%
501
-180
-26% -$13.4K
GVI icon
778
iShares Intermediate Government/Credit Bond ETF
GVI
$3.8B
$35K ﹤0.01%
300
– –
ISRG icon
779
Intuitive Surgical
ISRG
$142B
$35K ﹤0.01%
129
– –
PSLV icon
780
Sprott Physical Silver Trust
PSLV
$13.3B
$35K ﹤0.01%
3,750
– –
APTV icon
781
Aptiv
APTV
$10.2B
$34K ﹤0.01%
264
– –
FCOM icon
782
Fidelity MSCI Communication Services Index ETF
FCOM
$1.8B
$34K ﹤0.01%
748
+318
+74% +$13.4K
FXG icon
783
First Trust Consumer Staples AlphaDEX Fund
FXG
$232M
$34K ﹤0.01%
659
– –
GNTX icon
784
Gentex
GNTX
$4.99B
$34K ﹤0.01%
1,022
-12
-1% -$370
HPI
785
John Hancock Preferred Income Fund
HPI
$434M
$34K ﹤0.01%
1,750
– –
IWV icon
786
iShares Russell 3000 ETF
IWV
$20.6B
$34K ﹤0.01%
156
– –
PAWZ icon
787
ProShares Pet Care ETF
PAWZ
$33.8M
$34K ﹤0.01%
+486
New +$31.6K
RSPS icon
788
Invesco S&P 500 Equal Weight Consumer Staples ETF
RSPS
$249M
$34K ﹤0.01%
1,125
+1,055
+1,507% +$31.2K
TOWN icon
789
Towne Bank
TOWN
$3.5B
$34K ﹤0.01%
1,459
– –
VEEV icon
790
Veeva Systems
VEEV
$41B
$34K ﹤0.01%
125
+25
+25% +$7K
BF.B icon
791
Brown-Forman Class B
BF.B
$12.8B
$33K ﹤0.01%
424
– –
FBT icon
792
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.78B
$33K ﹤0.01%
201
– –
FNCL icon
793
Fidelity MSCI Financials Index ETF
FNCL
$2.43B
$33K ﹤0.01%
787
-517
-40% -$19.8K
GSIE icon
794
Goldman Sachs ActiveBeta International Equity ETF
GSIE
$6.16B
$33K ﹤0.01%
1,036
+206
+25% +$6.17K
TMUS icon
795
T-Mobile US
TMUS
$197B
$33K ﹤0.01%
252
– –
UJUN icon
796
Innovator US Equity Ultra Buffer ETF June
UJUN
$189M
$33K ﹤0.01%
1,201
-287
-19% -$7.94K
WBD icon
797
Warner Bros
WBD
$69.5B
$33K ﹤0.01%
1,112
+778
+233% +$19.1K
WOLF icon
798
Wolfspeed
WOLF
$1.63B
$33K ﹤0.01%
314
– –
ZG icon
799
Zillow
ZG
$8.15B
$33K ﹤0.01%
245
– –
ADRE
800
DELISTED
Invesco BLDRS Emerging Markets 50 ADR Index Fund
ADRE
$33K ﹤0.01%
600
– –
30 31
32
33 34

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.