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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
-0.55%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.79B
AUM Growth
+$22.2M
Cap. Flow
+$37.5M
Cap. Flow %
2.1%
Top 10 Hldgs %
43.07%
Holding
2,036
New
245
Increased
533
Reduced
393
Closed
104

Top Buys

Rank Stock Value
1
ARMR
Armor US Equity Index ETF
ARMR
+$16.3M
2
SPD icon
Simplify US Equity PLUS Downside Convexity ETF
SPD
+$9.62M
3
VFMF icon
Vanguard US Multifactor ETF
VFMF
+$4.73M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.93M
5
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$3.78M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.86M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.21M
3
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$2.99M
4
ADER
26 Capital Acquisition Corp
ADER
+$2.49M
5
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$1.98M

Sector Composition

Rank Sector Weight
1 Technology 6.94%
2 Financials 5.81%
3 Healthcare 2.4%
4 Consumer Discretionary 2.07%
5 Consumer Staples 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FXG icon
826
First Trust Consumer Staples AlphaDEX Fund
FXG
$229M
$37K ﹤0.01%
659
– –
JNK icon
827
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.3B
$37K ﹤0.01%
347
+1
+0.3% +$110
SCCO icon
828
Southern Copper
SCCO
$163B
$37K ﹤0.01%
728
– –
AFG icon
829
American Financial Group
AFG
$12B
$36K ﹤0.01%
287
+5
+2% +$653
DBA icon
830
Invesco DB Agriculture Fund
DBA
$1.23B
$36K ﹤0.01%
1,900
– –
GSHD icon
831
Goosehead Insurance
GSHD
$2.34B
$36K ﹤0.01%
240
– –
SAP icon
832
SAP
SAP
$241B
$36K ﹤0.01%
271
+6
+2% +$871
TECH icon
833
Bio-Techne
TECH
$11.2B
$36K ﹤0.01%
300
+16
+6% +$1.95K
TOWN icon
834
Towne Bank
TOWN
$3.43B
$36K ﹤0.01%
1,179
– –
UBER icon
835
Uber
UBER
$160B
$36K ﹤0.01%
817
+137
+20% +$5.99K
BSEP icon
836
Innovator US Equity Buffer ETF September
BSEP
$217M
$35K ﹤0.01%
+1,122
New +$35.9K
CGC
837
Canopy Growth
CGC
$420M
$35K ﹤0.01%
256
– –
GNTX icon
838
Gentex
GNTX
$5.07B
$35K ﹤0.01%
1,066
+44
+4% +$1.42K
GWRE icon
839
Guidewire Software
GWRE
$14.6B
$35K ﹤0.01%
295
+3
+1% +$346
KRNT icon
840
Kornit Digital
KRNT
$808M
$35K ﹤0.01%
242
– –
NTRS icon
841
Northern Trust
NTRS
$34.4B
$35K ﹤0.01%
328
+7
+2% +$795
SNPS icon
842
Synopsys
SNPS
$78.7B
$35K ﹤0.01%
118
+5
+4% +$1.52K
TMUS icon
843
T-Mobile US
TMUS
$193B
$35K ﹤0.01%
281
+1
+0.4% +$139
WDAY icon
844
Workday
WDAY
$44.7B
$35K ﹤0.01%
141
+2
+1% +$495
KSU
845
DELISTED
Kansas City Southern
KSU
$35K ﹤0.01%
133
– –
ALK icon
846
Alaska Air
ALK
$5.44B
$34K ﹤0.01%
587
– –
APO icon
847
Apollo Global Management
APO
$80.8B
$34K ﹤0.01%
558
+19
+4% +$1.14K
BCE icon
848
BCE
BCE
$21.8B
$34K ﹤0.01%
697
– –
DHS icon
849
WisdomTree US High Dividend Fund
DHS
$1.58B
$34K ﹤0.01%
450
– –
DMO
850
Western Asset Mortgage Opportunity Fund
DMO
$120M
$34K ﹤0.01%
2,219
– –
32 33
34
35 36

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Carroll Financial Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Carroll Financial Associates held 2,036 positions worth $1.79B, up 1.3% from $1.77B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Carroll Financial Associates's Q3 2021 filing shows 245 new, 533 increased, 393 reduced and 104 closed positions. Its largest new stake was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $8.86M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2021 buy was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M.
  • Carroll Financial Associates added most to Armor US Equity Index ETF in Q3 2021, an estimated $16.3M increase.
  • Carroll Financial Associates's biggest Q3 2021 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.86M.
  • Carroll Financial Associates fully exited VanEck Semiconductor ETF in Q3 2021, selling an estimated $838K.
  • Carroll Financial Associates's ten largest holdings make up 43% of its $1.79B portfolio in Q3 2021.
  • Carroll Financial Associates opened 245 new positions and closed 104 in Q3 2021.
  • Carroll Financial Associates's portfolio value rose 1.3% quarter-over-quarter to $1.79B.

Based on Carroll Financial Associates's 13F filing for Q3 2021, filed 7 Oct 2021.