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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
IIPR icon
826
Innovative Industrial Properties
IIPR
$1.72B
$11K ﹤0.01%
+236
New +$10.8K
LUMN icon
827
Lumen
LUMN
$6.44B
$11K ﹤0.01%
711
+8
+1% +$153
MOO icon
828
VanEck Agribusiness ETF
MOO
$973M
$11K ﹤0.01%
200
– –
NDAQ icon
829
Nasdaq
NDAQ
$52.9B
$11K ﹤0.01%
+450
New +$12.8K
NTES icon
830
NetEase
NTES
$84.7B
$11K ﹤0.01%
245
+40
+20% +$1.8K
PHM icon
831
Pultegroup
PHM
$25.3B
$11K ﹤0.01%
400
-880
-69% -$21.8K
PRO
832
DELISTED
PROS Holdings
PRO
$11K ﹤0.01%
354
-15
-4% -$475
PSCH icon
833
Invesco S&P SmallCap Health Care ETF
PSCH
$172M
$11K ﹤0.01%
324
– –
SOXX icon
834
iShares Semiconductor ETF
SOXX
$45.9B
$11K ﹤0.01%
213
– –
SRE icon
835
Sempra
SRE
$54.8B
$11K ﹤0.01%
200
+104
+108% +$5.93K
VBK icon
836
Vanguard Morningstar Small-Cap Growth ETF
VBK
$24.6B
$11K ﹤0.01%
73
– –
VHT icon
837
Vanguard Health Care ETF
VHT
$18.7B
$11K ﹤0.01%
+69
New +$11.7K
QVCGA
838
DELISTED
QVC Group Inc Series A
QVCGA
$11K ﹤0.01%
12
– –
S
839
DELISTED
Sprint Corporation
S
$11K ﹤0.01%
1,774
– –
CART
840
DELISTED
Carolina Trust BancShares
CART
$11K ﹤0.01%
1,460
– –
SSFN
841
DELISTED
Stewardship Financial Corp
SSFN
$11K ﹤0.01%
1,350
– –
ISCA
842
DELISTED
International Speedway Corp
ISCA
$11K ﹤0.01%
260
– –
BTT icon
843
BlackRock Municipal 2030 Target Term Trust
BTT
$1.44B
$10K ﹤0.01%
500
– –
DFS
844
DELISTED
Discover Financial Services
DFS
$10K ﹤0.01%
166
– –
DXCM icon
845
DexCom
DXCM
$32B
$10K ﹤0.01%
312
– –
EMB icon
846
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$15B
$10K ﹤0.01%
102
– –
ETSY icon
847
Etsy
ETSY
$7.85B
$10K ﹤0.01%
200
– –
FCX icon
848
Freeport-McMoran
FCX
$97.5B
$10K ﹤0.01%
978
-120
-11% -$1.4K
GNRC icon
849
Generac Holdings
GNRC
$12.5B
$10K ﹤0.01%
+200
New +$10.7K
GWRE icon
850
Guidewire Software
GWRE
$14.2B
$10K ﹤0.01%
133
+119
+850% +$10.4K
32 33
34
35 36

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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.