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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
UNM icon
851
Unum
UNM
$14.7B
$27K ﹤0.01%
1,200
– –
VRSN icon
852
VeriSign
VRSN
$26B
$27K ﹤0.01%
128
+3
+2% +$614
TSC
853
DELISTED
TriState Capital Holdings, Inc.
TSC
$27K ﹤0.01%
1,600
-16,500
-91% -$248K
FTA icon
854
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.44B
$26K ﹤0.01%
490
– –
MCY icon
855
Mercury Insurance
MCY
$5.81B
$26K ﹤0.01%
+500
New +$22.4K
NEM icon
856
Newmont
NEM
$120B
$26K ﹤0.01%
439
– –
NICE icon
857
Nice
NICE
$6.17B
$26K ﹤0.01%
95
– –
NWN icon
858
Northwest Natural Holdings
NWN
$2.14B
$26K ﹤0.01%
575
– –
WST icon
859
West Pharmaceutical
WST
$24.4B
$26K ﹤0.01%
92
– –
MDC
860
DELISTED
M.D.C. Holdings, Inc.
MDC
$26K ﹤0.01%
591
– –
KSU
861
DELISTED
Kansas City Southern
KSU
$26K ﹤0.01%
129
+7
+6% +$1.31K
AEG icon
862
Aegon
AEG
$13.9B
$25K ﹤0.01%
7,127
– –
CHE icon
863
Chemed
CHE
$7.02B
$25K ﹤0.01%
47
-1
-2% -$491
DOL icon
864
WisdomTree True Developed International Fund
DOL
$848M
$25K ﹤0.01%
552
– –
FDS icon
865
Factset
FDS
$10.2B
$25K ﹤0.01%
77
– –
FHLC icon
866
Fidelity MSCI Health Care Index ETF
FHLC
$3.42B
$25K ﹤0.01%
450
+100
+29% +$5.52K
GDDY icon
867
GoDaddy
GDDY
$12.7B
$25K ﹤0.01%
303
+78
+35% +$6.12K
ING icon
868
ING
ING
$102B
$25K ﹤0.01%
2,692
– –
LCG
869
DELISTED
Sterling Capital Focus Equity ETF
LCG
$25K ﹤0.01%
+980
New +$24.7K
SLAB icon
870
Silicon Laboratories
SLAB
$7.28B
$25K ﹤0.01%
203
– –
VFH icon
871
Vanguard Financials ETF
VFH
$14B
$25K ﹤0.01%
352
– –
INOV
872
DELISTED
Inovalon Holdings, Inc. Class A Common Stock
INOV
$25K ﹤0.01%
1,416
– –
BL icon
873
BlackLine
BL
$1.82B
$24K ﹤0.01%
184
-6
-3% -$669
EFR
874
Eaton Vance Senior Floating-Rate Fund
EFR
$318M
$24K ﹤0.01%
1,900
– –
FANG icon
875
Diamondback Energy
FANG
$55.9B
$24K ﹤0.01%
500
-1
-0.2% -$37
33 34
35
36 37

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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.