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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RELX icon
851
RELX
RELX
$62.1B
$12K ﹤0.01%
576
– –
SMFG icon
852
Sumitomo Mitsui Financial
SMFG
$160B
$12K ﹤0.01%
1,576
– –
UTF icon
853
Cohen & Steers Infrastructure Fund
UTF
$3.03B
$12K ﹤0.01%
576
+11
+2% +$254
QVCGA
854
DELISTED
QVC Group Inc Series A
QVCGA
$12K ﹤0.01%
12
– –
VGR
855
DELISTED
Vector Group Ltd.
VGR
$12K ﹤0.01%
1,361
-1
-0.1% -$11
NS
856
DELISTED
NuStar Energy L.P.
NS
$12K ﹤0.01%
453
+153
+51% +$4.05K
CERN
857
DELISTED
Cerner Corp
CERN
$12K ﹤0.01%
200
-260
-57% -$16.5K
BDCL
858
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$12K ﹤0.01%
795
– –
CART
859
DELISTED
Carolina Trust BancShares
CART
$12K ﹤0.01%
1,460
– –
ATHN
860
DELISTED
Athenahealth, Inc.
ATHN
$12K ﹤0.01%
92
– –
BBP icon
861
Virtus Biotech ETF
BBP
$106M
$11K ﹤0.01%
253
– –
CHY
862
Calamos Convertible and High Income Fund
CHY
$1.07B
$11K ﹤0.01%
880
– –
DXCM icon
863
DexCom
DXCM
$33B
$11K ﹤0.01%
312
-312
-50% -$9.67K
ETJ
864
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$573M
$11K ﹤0.01%
1,202
– –
GNTX icon
865
Gentex
GNTX
$5.03B
$11K ﹤0.01%
554
– –
HAL icon
866
Halliburton
HAL
$27.8B
$11K ﹤0.01%
295
– –
JWN
867
DELISTED
Nordstrom
JWN
$11K ﹤0.01%
200
– –
KKR icon
868
KKR & Co
KKR
$92.4B
$11K ﹤0.01%
431
+355
+467% +$9.48K
MOAT icon
869
VanEck Morningstar Wide Moat ETF
MOAT
$12.3B
$11K ﹤0.01%
242
– –
NAD icon
870
Nuveen Quality Municipal Income Fund
NAD
$2.77B
$11K ﹤0.01%
925
– –
PAYC icon
871
Paycom
PAYC
$9.58B
$11K ﹤0.01%
74
– –
REG icon
872
Regency Centers
REG
$13.9B
$11K ﹤0.01%
177
– –
RWX icon
873
State Street SPDR Dow Jones International Real Estate ETF
RWX
$268M
$11K ﹤0.01%
+292
New +$11.4K
SLM icon
874
SLM Corp
SLM
$5.17B
$11K ﹤0.01%
1,000
– –
TEVA icon
875
Teva Pharmaceuticals
TEVA
$41.2B
$11K ﹤0.01%
540
– –
33 34
35
36 37

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6M
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RFA
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CCT
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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.