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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
CTSH icon
801
Cognizant
CTSH
$26B
$27K ﹤0.01%
441
-1
-0.2% -$62
FTA icon
802
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.42B
$27K ﹤0.01%
490
– –
PAYC icon
803
Paycom
PAYC
$9.69B
$27K ﹤0.01%
104
-2
-2% -$473
PBW icon
804
Invesco WilderHill Clean Energy ETF
PBW
$461M
$27K ﹤0.01%
792
– –
PHG icon
805
Philips
PHG
$26.1B
$27K ﹤0.01%
703
+56
+9% +$2.02K
RPG icon
806
Invesco S&P 500 Pure Growth ETF
RPG
$2.04B
$27K ﹤0.01%
1,100
– –
SRLN icon
807
State Street Blackstone Senior Loan ETF
SRLN
$5.36B
$27K ﹤0.01%
592
+395
+201% +$18.2K
VDE icon
808
Vanguard Energy ETF
VDE
$9.84B
$27K ﹤0.01%
335
+9
+3% +$700
VTEB icon
809
Vanguard Tax-Exempt Bond Index Fund
VTEB
$46B
$27K ﹤0.01%
516
– –
XLRE icon
810
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.65B
$27K ﹤0.01%
714
– –
ADSK icon
811
Autodesk
ADSK
$52.6B
$26K ﹤0.01%
144
– –
BEN icon
812
Franklin Resources
BEN
$17.2B
$26K ﹤0.01%
1,004
– –
DIAX
813
DELISTED
Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX
$26K ﹤0.01%
1,500
– –
JEF icon
814
Jefferies Financial Group
JEF
$13.1B
$26K ﹤0.01%
1,278
-7,322
-85% -$139K
KRE icon
815
State Street SPDR S&P Regional Banking ETF
KRE
$4.57B
$26K ﹤0.01%
452
+24
+6% +$1.33K
OBOR icon
816
Kraneshares MSCI One Belt One Road Index ETF
OBOR
$4.14M
$26K ﹤0.01%
1,085
– –
TEL icon
817
TE Connectivity
TEL
$62.6B
$26K ﹤0.01%
275
– –
UTF icon
818
Cohen & Steers Infrastructure Fund
UTF
$3.04B
$26K ﹤0.01%
1,026
+16
+2% +$421
UTG icon
819
Reaves Utility Income Fund
UTG
$3.61B
$26K ﹤0.01%
726
– –
ADRE
820
DELISTED
Invesco BLDRS Emerging Markets 50 ADR Index Fund
ADRE
$26K ﹤0.01%
600
– –
CHKP icon
821
Check Point Software Technologies
CHKP
$13.1B
$25K ﹤0.01%
231
-12
-5% -$1.35K
CMP icon
822
Compass Minerals
CMP
$1.15B
$25K ﹤0.01%
425
– –
EFR
823
Eaton Vance Senior Floating-Rate Fund
EFR
$317M
$25K ﹤0.01%
1,900
– –
ISRG icon
824
Intuitive Surgical
ISRG
$134B
$25K ﹤0.01%
129
-15
-10% -$2.81K
IBKC
825
DELISTED
IBERIABANK Corp
IBKC
$25K ﹤0.01%
340
– –
31 32
33
34 35

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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.