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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
GVI icon
851
iShares Intermediate Government/Credit Bond ETF
GVI
$3.79B
$34K ﹤0.01%
300
– –
RSPS icon
852
Invesco S&P 500 Equal Weight Consumer Staples ETF
RSPS
$245M
$34K ﹤0.01%
1,125
– –
RWR icon
853
State Street SPDR Dow Jones REIT ETF
RWR
$1.85B
$34K ﹤0.01%
326
– –
TTI icon
854
TETRA Technologies
TTI
$1.31B
$34K ﹤0.01%
11,000
– –
XSD icon
855
State Street SPDR S&P Semiconductor ETF
XSD
$2.85B
$34K ﹤0.01%
174
-29
-14% -$5.66K
AEG icon
856
Aegon
AEG
$13.9B
$33K ﹤0.01%
6,876
-132
-2% -$572
BTI icon
857
British American Tobacco
BTI
$122B
$33K ﹤0.01%
958
-32
-3% -$1.2K
FBT icon
858
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.81B
$33K ﹤0.01%
201
– –
OBOR icon
859
Kraneshares MSCI One Belt One Road Index ETF
OBOR
$4.13M
$33K ﹤0.01%
1,085
– –
QQQJ icon
860
Invesco NASDAQ Next Gen 100 ETF
QQQJ
$1.18B
$33K ﹤0.01%
1,002
+1
+0.1% +$34
SBAC icon
861
SBA Communications
SBAC
$19.3B
$33K ﹤0.01%
101
-6
-6% -$2.08K
SPXX icon
862
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$343M
$33K ﹤0.01%
1,988
– –
TDG icon
863
TransDigm Group
TDG
$68.7B
$33K ﹤0.01%
54
-1
-2% -$625
BUZZ icon
864
VanEck Social Sentiment ETF
BUZZ
$98.9M
$32K ﹤0.01%
1,315
– –
HR icon
865
Healthcare Realty
HR
$6.57B
$32K ﹤0.01%
1,100
– –
NOK icon
866
Nokia
NOK
$52.8B
$32K ﹤0.01%
6,055
– –
VPL icon
867
Vanguard FTSE Pacific ETF
VPL
$8.42B
$32K ﹤0.01%
403
+323
+404% +$26.6K
XYLG icon
868
Global X S&P 500 Covered Call & Growth ETF
XYLG
$65.4M
$32K ﹤0.01%
1,084
– –
TWTR
869
DELISTED
Twitter, Inc.
TWTR
$32K ﹤0.01%
536
+2
+0.4% +$131
AEE icon
870
Ameren
AEE
$29.8B
$31K ﹤0.01%
392
+3
+0.8% +$256
FTA icon
871
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.42B
$31K ﹤0.01%
490
– –
JLL icon
872
Jones Lang LaSalle
JLL
$16.7B
$31K ﹤0.01%
128
– –
SCI icon
873
Service Corp International
SCI
$11.4B
$31K ﹤0.01%
531
+31
+6% +$1.89K
UPST icon
874
Upstart Holdings
UPST
$2.91B
$31K ﹤0.01%
+100
New +$19.7K
VEEV icon
875
Veeva Systems
VEEV
$38.4B
$31K ﹤0.01%
108
+1
+0.9% +$317
33 34
35
36 37

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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.