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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AIMT
851
DELISTED
Aimmune Therapeutics
AIMT
$19K ﹤0.01%
910
– –
ANF icon
852
Abercrombie & Fitch
ANF
$5.27B
$18K ﹤0.01%
1,204
– –
CCK icon
853
Crown Holdings
CCK
$13B
$18K ﹤0.01%
273
-61
-18% -$3.91K
CRSP icon
854
CRISPR Therapeutics
CRSP
$5.19B
$18K ﹤0.01%
450
– –
IIPR icon
855
Innovative Industrial Properties
IIPR
$1.67B
$18K ﹤0.01%
197
-39
-17% -$4.11K
IYT icon
856
iShares US Transportation ETF
IYT
$2.27B
$18K ﹤0.01%
404
– –
K
857
DELISTED
Kellanova
K
$18K ﹤0.01%
304
-181
-37% -$10.3K
REGN icon
858
Regeneron Pharmaceuticals
REGN
$82.6B
$18K ﹤0.01%
67
– –
SPG icon
859
Simon Property Group
SPG
$71.3B
$18K ﹤0.01%
119
+2
+2% +$311
TAP icon
860
Molson Coors Class B
TAP
$7.89B
$18K ﹤0.01%
319
+3
+0.9% +$163
WST icon
861
West Pharmaceutical
WST
$25B
$18K ﹤0.01%
133
– –
AKTS
862
DELISTED
Akoustis Technologies Inc
AKTS
$18K ﹤0.01%
2,410
– –
HEP
863
DELISTED
Holly Energy Partners, L.P.
HEP
$18K ﹤0.01%
+721
New +$19.8K
AVNT icon
864
Avient
AVNT
$4.19B
$17K ﹤0.01%
543
– –
BXMT icon
865
Blackstone Mortgage Trust
BXMT
$2.37B
$17K ﹤0.01%
+500
New +$17.8K
CHRW icon
866
C.H. Robinson
CHRW
$17.5B
$17K ﹤0.01%
211
-25
-11% -$2.1K
HAIN icon
867
Hain Celestial
HAIN
$53.8M
$17K ﹤0.01%
800
-1,298
-62% -$27.2K
HPQ icon
868
HP
HPQ
$27.7B
$17K ﹤0.01%
912
-94
-9% -$1.85K
LII icon
869
Lennox International
LII
$14.7B
$17K ﹤0.01%
72
-35
-33% -$9.03K
MTB icon
870
M&T Bank
MTB
$36.2B
$17K ﹤0.01%
113
-570
-83% -$89.7K
PBT
871
Permian Basin Royalty Trust
PBT
$1.5B
$17K ﹤0.01%
3,299
+79
+2% +$408
PFG icon
872
Principal Financial Group
PFG
$24.3B
$17K ﹤0.01%
300
– –
SAIC icon
873
Saic
SAIC
$5.38B
$17K ﹤0.01%
202
– –
SPYG icon
874
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$55.2B
$17K ﹤0.01%
447
+1
+0.2% +$39
SYF icon
875
Synchrony
SYF
$25.4B
$17K ﹤0.01%
524
– –
33 34
35
36 37

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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.