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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
NVRI icon
801
Enviri
NVRI
$620M
$12K ﹤0.01%
598
– –
RACE icon
802
Ferrari
RACE
$72.5B
$12K ﹤0.01%
120
– –
RCI icon
803
Rogers Communications
RCI
$18.6B
$12K ﹤0.01%
238
+61
+34% +$3.16K
RVT icon
804
Royce Value Trust
RVT
$2.3B
$12K ﹤0.01%
1,031
+32
+3% +$443
SAIC icon
805
Saic
SAIC
$5.35B
$12K ﹤0.01%
200
– –
SSRM icon
806
SSR Mining
SSRM
$6.48B
$12K ﹤0.01%
1,050
– –
STX icon
807
Seagate
STX
$184B
$12K ﹤0.01%
326
– –
TTWO icon
808
Take-Two Interactive
TTWO
$46.1B
$12K ﹤0.01%
124
+89
+254% +$10.2K
UTF icon
809
Cohen & Steers Infrastructure Fund
UTF
$3.04B
$12K ﹤0.01%
597
+21
+4% +$452
VOD icon
810
Vodafone
VOD
$37.4B
$12K ﹤0.01%
607
+246
+68% +$4.91K
WRK
811
DELISTED
WestRock Company
WRK
$12K ﹤0.01%
310
– –
NATI
812
DELISTED
National Instruments Corp
NATI
$12K ﹤0.01%
283
– –
GWPH
813
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
$12K ﹤0.01%
106
+71
+203% +$9.31K
JHMT
814
DELISTED
John Hancock Multifactor Technology ETF
JHMT
$12K ﹤0.01%
318
+177
+126% +$7.54K
TSS
815
DELISTED
Total System Services, Inc.
TSS
$12K ﹤0.01%
+150
New +$13.3K
BCE icon
816
BCE
BCE
$21.2B
$11K ﹤0.01%
273
-60
-18% -$2.46K
BKNG icon
817
Booking.com
BKNG
$161B
$11K ﹤0.01%
175
+100
+133% +$7.33K
CHRW icon
818
C.H. Robinson
CHRW
$17.5B
$11K ﹤0.01%
144
– –
CNC icon
819
Centene
CNC
$32.5B
$11K ﹤0.01%
200
– –
CNP icon
820
CenterPoint Energy
CNP
$26.8B
$11K ﹤0.01%
396
– –
CQP icon
821
Cheniere Energy
CQP
$31.3B
$11K ﹤0.01%
308
– –
CXW icon
822
CoreCivic
CXW
$3.19B
$11K ﹤0.01%
616
+300
+95% +$6.59K
ETG
823
Eaton Vance Tax-Advantaged Global Dividend Income Fund
ETG
$1.85B
$11K ﹤0.01%
800
– –
FINX icon
824
Global X FinTech ETF
FINX
$166M
$11K ﹤0.01%
497
– –
FXN icon
825
First Trust Energy AlphaDEX Fund
FXN
$368M
$11K ﹤0.01%
+900
New +$13.2K
31 32
33
34 35

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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.