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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
BHK icon
826
BlackRock Core Bond Trust
BHK
$667M
$24K ﹤0.01%
+1,653
New +$23.9K
CGW icon
827
Invesco S&P Global Water Index ETF
CGW
$1.08B
$24K ﹤0.01%
589
-28
-5% -$1.11K
CSGP icon
828
CoStar Group
CSGP
$12.3B
$24K ﹤0.01%
410
– –
DAL icon
829
Delta Air Lines
DAL
$60.1B
$24K ﹤0.01%
422
– –
EWJ icon
830
iShares MSCI Japan ETF
EWJ
$22.8B
$24K ﹤0.01%
418
– –
QYLD icon
831
Global X NASDAQ-100 Covered Call ETF
QYLD
$8.27B
$24K ﹤0.01%
1,025
-1,736
-63% -$40.3K
SLM icon
832
SLM Corp
SLM
$5.15B
$24K ﹤0.01%
2,780
– –
TYL icon
833
Tyler Technologies
TYL
$12.8B
$24K ﹤0.01%
83
-2
-2% -$557
VRSN icon
834
VeriSign
VRSN
$26.6B
$24K ﹤0.01%
125
-2
-2% -$376
DCP
835
DELISTED
DCP Midstream, LP
DCP
$24K ﹤0.01%
1,000
– –
AXTA icon
836
Axalta
AXTA
$8.17B
$23K ﹤0.01%
787
– –
AYI icon
837
Acuity Brands
AYI
$10.8B
$23K ﹤0.01%
169
-2
-1% -$257
BIL icon
838
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
$46.7B
$23K ﹤0.01%
254
-3,218
-93% -$294K
DEM icon
839
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.98B
$23K ﹤0.01%
506
– –
ELD icon
840
WisdomTree Emerging Markets Local Debt Fund
ELD
$143M
$23K ﹤0.01%
649
– –
B
841
Barrick Mining
B
$73.2B
$23K ﹤0.01%
1,257
– –
HUSV icon
842
First Trust Horizon Managed Volatility Domestic ETF
HUSV
$85.2M
$23K ﹤0.01%
834
+33
+4% +$904
K
843
DELISTED
Kellanova
K
$23K ﹤0.01%
359
+55
+18% +$3.33K
NWS icon
844
News Corp Class B
NWS
$17.5B
$23K ﹤0.01%
1,653
– –
SLAB icon
845
Silicon Laboratories
SLAB
$7.23B
$23K ﹤0.01%
203
– –
VBR icon
846
Vanguard Morningstar Small-Cap Value ETF
VBR
$38.1B
$23K ﹤0.01%
172
– –
WAB icon
847
Wabtec
WAB
$49.3B
$23K ﹤0.01%
307
-41
-12% -$3.03K
XOP icon
848
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.43B
$23K ﹤0.01%
250
– –
XLNX
849
DELISTED
Xilinx Inc
XLNX
$23K ﹤0.01%
237
– –
ETV
850
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.76B
$22K ﹤0.01%
1,507
+3
+0.2% +$45
32 33
34
35 36

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NFG
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6M
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RFA
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CCT
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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.