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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BCE icon
826
BCE
BCE
$21.7B
$29K ﹤0.01%
697
– –
BNDX icon
827
Vanguard Total International Bond ETF
BNDX
$83B
$29K ﹤0.01%
507
-9
-2% -$526
CMG icon
828
Chipotle Mexican Grill
CMG
$41.3B
$29K ﹤0.01%
1,050
-1,350
-56% -$35.4K
GSHD icon
829
Goosehead Insurance
GSHD
$2.39B
$29K ﹤0.01%
240
– –
IEF icon
830
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
$29K ﹤0.01%
243
-13,189
-98% -$1.59M
LDP icon
831
Cohen & Steers Duration Preferred & Income Fund
LDP
$601M
$29K ﹤0.01%
1,100
+200
+22% +$4.91K
OBOR icon
832
Kraneshares MSCI One Belt One Road Index ETF
OBOR
$4.13M
$29K ﹤0.01%
1,085
– –
SPYG icon
833
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$55.5B
$29K ﹤0.01%
542
+91
+20% +$4.78K
VXUS icon
834
Vanguard Total International Stock ETF
VXUS
$164B
$29K ﹤0.01%
496
– –
SAFM
835
DELISTED
Sanderson Farms Inc
SAFM
$29K ﹤0.01%
225
– –
DXCM icon
836
DexCom
DXCM
$34.5B
$28K ﹤0.01%
312
– –
EWJ icon
837
iShares MSCI Japan ETF
EWJ
$23.2B
$28K ﹤0.01%
418
– –
IRTC icon
838
iRhythm Holdings
IRTC
$4.06B
$28K ﹤0.01%
120
– –
NTRS icon
839
Northern Trust
NTRS
$34.8B
$28K ﹤0.01%
302
+44
+17% +$3.88K
RWR icon
840
State Street SPDR Dow Jones REIT ETF
RWR
$1.89B
$28K ﹤0.01%
326
– –
SPCE icon
841
Virgin Galactic
SPCE
$475M
$28K ﹤0.01%
60
+5
+9% +$2.34K
WPC icon
842
W.P. Carey
WPC
$16.3B
$28K ﹤0.01%
408
– –
AEE icon
843
Ameren
AEE
$30.2B
$27K ﹤0.01%
357
+55
+18% +$4.41K
ALRM icon
844
Alarm.com
ALRM
$2.74B
$27K ﹤0.01%
261
– –
AMLP icon
845
Alerian MLP ETF
AMLP
$13.1B
$27K ﹤0.01%
1,090
– –
CCK icon
846
Crown Holdings
CCK
$12.9B
$27K ﹤0.01%
270
– –
CHTR icon
847
Charter Communications
CHTR
$18.7B
$27K ﹤0.01%
41
-69
-63% -$43.9K
CNC icon
848
Centene
CNC
$32.6B
$27K ﹤0.01%
454
+368
+428% +$23.4K
PFG icon
849
Principal Financial Group
PFG
$24.6B
$27K ﹤0.01%
554
– –
SBAC icon
850
SBA Communications
SBAC
$19.8B
$27K ﹤0.01%
96
-106
-52% -$31.1K
32 33
34
35 36

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.