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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CHE icon
826
Chemed
CHE
$7.02B
$23K ﹤0.01%
48
– –
GSIE icon
827
Goldman Sachs ActiveBeta International Equity ETF
GSIE
$6.16B
$23K ﹤0.01%
830
– –
OBOR icon
828
Kraneshares MSCI One Belt One Road Index ETF
OBOR
$4.13M
$23K ﹤0.01%
1,085
– –
TOWN icon
829
Towne Bank
TOWN
$3.5B
$23K ﹤0.01%
1,459
– –
DOL icon
830
WisdomTree True Developed International Fund
DOL
$848M
$22K ﹤0.01%
552
– –
EFR
831
Eaton Vance Senior Floating-Rate Fund
EFR
$318M
$22K ﹤0.01%
1,900
– –
FTA icon
832
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.44B
$22K ﹤0.01%
490
– –
NEO icon
833
NeoGenomics
NEO
$2.11B
$22K ﹤0.01%
600
-425
-41% -$15.8K
PFG icon
834
Principal Financial Group
PFG
$24.6B
$22K ﹤0.01%
554
– –
PRNT icon
835
The 3D Printing ETF
PRNT
$65.5M
$22K ﹤0.01%
955
– –
QYLD icon
836
Global X NASDAQ-100 Covered Call ETF
QYLD
$8.29B
$22K ﹤0.01%
1,025
– –
SHV icon
837
iShares 0-1 Year Treasury Bond ETF
SHV
$20.6B
$22K ﹤0.01%
200
-83
-29% -$9.19K
SPYG icon
838
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$55.5B
$22K ﹤0.01%
451
+1
+0.2% +$49
UTG icon
839
Reaves Utility Income Fund
UTG
$3.69B
$22K ﹤0.01%
726
– –
KSU
840
DELISTED
Kansas City Southern
KSU
$22K ﹤0.01%
122
– –
AMLP icon
841
Alerian MLP ETF
AMLP
$13.1B
$21K ﹤0.01%
1,090
-385
-26% -$8.91K
CQP icon
842
Cheniere Energy
CQP
$32.6B
$21K ﹤0.01%
636
– –
DGX icon
843
Quest Diagnostics
DGX
$26.1B
$21K ﹤0.01%
184
– –
GRWG icon
844
GrowGeneration
GRWG
$108M
$21K ﹤0.01%
+1,350
New +$16.1K
LDP icon
845
Cohen & Steers Duration Preferred & Income Fund
LDP
$601M
$21K ﹤0.01%
+900
New +$21.2K
MCO icon
846
Moody's
MCO
$84.6B
$21K ﹤0.01%
73
-159
-69% -$45.4K
NICE icon
847
Nice
NICE
$6.17B
$21K ﹤0.01%
+95
New +$20.2K
SPCE icon
848
Virgin Galactic
SPCE
$475M
$21K ﹤0.01%
55
– –
TDOC icon
849
Teladoc Health
TDOC
$1.26B
$21K ﹤0.01%
98
– –
UNOV icon
850
Innovator US Equity Ultra Buffer ETF November
UNOV
$110M
$21K ﹤0.01%
787
– –
32 33
34
35 36

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Carroll Financial Associates's Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.