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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
FLO icon
876
Flowers Foods
FLO
$1.52B
$20K ﹤0.01%
937
– –
GNRC icon
877
Generac Holdings
GNRC
$12.4B
$20K ﹤0.01%
200
– –
HSBC icon
878
HSBC
HSBC
$354B
$20K ﹤0.01%
512
+242
+90% +$9.18K
KR icon
879
Kroger
KR
$34.6B
$20K ﹤0.01%
+700
New +$18.6K
MIN
880
Aberdeen Intermediate Income Fund
MIN
$278M
$20K ﹤0.01%
5,500
– –
PCN
881
PIMCO Corporate & Income Strategy Fund
PCN
$887M
$20K ﹤0.01%
1,080
– –
PRLB icon
882
Protolabs
PRLB
$2.14B
$20K ﹤0.01%
198
+4
+2% +$396
WAT icon
883
Waters Corp
WAT
$40.2B
$20K ﹤0.01%
86
– –
UFOX
884
Defiance Space and Connective Tech ETF
UFOX
$903M
$20K ﹤0.01%
800
+200
+33% +$4.98K
ARES icon
885
Ares Management
ARES
$30.5B
$19K ﹤0.01%
539
+5
+0.9% +$155
CHX
886
DELISTED
ChampionX
CHX
$19K ﹤0.01%
586
– –
GHYG icon
887
iShares US & Intl High Yield Corp Bond ETF
GHYG
$199M
$19K ﹤0.01%
401
– –
HAS icon
888
Hasbro
HAS
$13.3B
$19K ﹤0.01%
183
+14
+8% +$1.46K
IDLV icon
889
Invesco S&P International Developed Low Volatility ETF
IDLV
$346M
$19K ﹤0.01%
563
+2
+0.4% +$69
IYT icon
890
iShares US Transportation ETF
IYT
$2.28B
$19K ﹤0.01%
404
– –
LUMN icon
891
Lumen
LUMN
$6.84B
$19K ﹤0.01%
1,488
-78
-5% -$1.05K
MTB icon
892
M&T Bank
MTB
$36.1B
$19K ﹤0.01%
113
– –
NTRS icon
893
Northern Trust
NTRS
$34.3B
$19K ﹤0.01%
188
-16
-8% -$1.64K
REGN icon
894
Regeneron Pharmaceuticals
REGN
$82.5B
$19K ﹤0.01%
52
-15
-22% -$5.05K
SHYG icon
895
iShares 0-5 Year High Yield Corporate Bond ETF
SHYG
$7.59B
$19K ﹤0.01%
416
+400
+2,500% +$18.5K
AKTS
896
DELISTED
Akoustis Technologies Inc
AKTS
$19K ﹤0.01%
2,410
– –
MVIN
897
DELISTED
Natixis Seeyond International Minimum Volatility ETF
MVIN
$19K ﹤0.01%
450
– –
BDJ icon
898
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.74B
$18K ﹤0.01%
1,903
+62
+3% +$583
BRO icon
899
Brown & Brown
BRO
$23.8B
$18K ﹤0.01%
478
+249
+109% +$9.35K
BXMT icon
900
Blackstone Mortgage Trust
BXMT
$2.35B
$18K ﹤0.01%
500
– –
34 35
36
37 38

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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.