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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HWM icon
851
Howmet Aerospace
HWM
$112B
$22K ﹤0.01%
973
– –
LOPE icon
852
Grand Canyon Education
LOPE
$3.98B
$22K ﹤0.01%
230
+74
+47% +$6.83K
NXPI icon
853
NXP Semiconductors
NXPI
$60.4B
$22K ﹤0.01%
179
– –
SKYY icon
854
First Trust Cloud Computing ETF
SKYY
$3.12B
$22K ﹤0.01%
379
– –
SPB icon
855
Spectrum Brands
SPB
$2.07B
$22K ﹤0.01%
343
+30
+10% +$1.7K
WDAY icon
856
Workday
WDAY
$44.4B
$22K ﹤0.01%
139
– –
JPS
857
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$22K ﹤0.01%
2,284
– –
DLBR
858
DELISTED
VelocityShares Short LIBOR ETN
DLBR
$22K ﹤0.01%
917
– –
AMG icon
859
Affiliated Managers Group
AMG
$9.76B
$21K ﹤0.01%
249
– –
BXC icon
860
BlueLinx
BXC
$706M
$21K ﹤0.01%
+1,500
New +$30.8K
CHE icon
861
Chemed
CHE
$7.22B
$21K ﹤0.01%
48
-1
-2% -$421
DGX icon
862
Quest Diagnostics
DGX
$26.3B
$21K ﹤0.01%
200
– –
EOG icon
863
EOG Resources
EOG
$70.7B
$21K ﹤0.01%
257
-128
-33% -$9.38K
ERIE icon
864
Erie Indemnity
ERIE
$13.2B
$21K ﹤0.01%
131
– –
NUV icon
865
Nuveen Municipal Value Fund
NUV
$1.91B
$21K ﹤0.01%
2,000
– –
OKE icon
866
Oneok
OKE
$54.5B
$21K ﹤0.01%
288
+27
+10% +$1.93K
ST icon
867
Sensata Technologies
ST
$6.79B
$21K ﹤0.01%
408
– –
UGI icon
868
UGI
UGI
$7.33B
$21K ﹤0.01%
487
– –
VCLT icon
869
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.81B
$21K ﹤0.01%
208
-117
-36% -$11.8K
VOX icon
870
Vanguard Communication Services ETF
VOX
$5.85B
$21K ﹤0.01%
233
– –
ABEV icon
871
Ambev
ABEV
$46.4B
$20K ﹤0.01%
4,440
-7
-0.2% -$31
AVNT icon
872
Avient
AVNT
$4.19B
$20K ﹤0.01%
546
+3
+0.6% +$98
CATO icon
873
Cato Corp
CATO
$66.1M
$20K ﹤0.01%
1,175
– –
DWX icon
874
State Street SPDR S&P International Dividend ETF
DWX
$533M
$20K ﹤0.01%
503
– –
FDS icon
875
Factset
FDS
$10.2B
$20K ﹤0.01%
77
+59
+328% +$15.2K
33 34
35
36 37

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Carroll Financial Associates's Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

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

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.