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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
MGM icon
876
MGM Resorts International
MGM
$11.1B
$24K ﹤0.01%
+772
New +$19.9K
SCI icon
877
Service Corp International
SCI
$11.3B
$24K ﹤0.01%
500
+451
+920% +$21.4K
SGI
878
Somnigroup International
SGI
$14B
$24K ﹤0.01%
+915
New +$22.3K
AFG icon
879
American Financial Group
AFG
$12.1B
$23K ﹤0.01%
270
-100
-27% -$8.2K
HES
880
DELISTED
Hess
HES
$23K ﹤0.01%
450
-529
-54% -$24K
MTB icon
881
M&T Bank
MTB
$36.6B
$23K ﹤0.01%
184
+52
+39% +$5.92K
QYLD icon
882
Global X NASDAQ-100 Covered Call ETF
QYLD
$8.29B
$23K ﹤0.01%
1,025
– –
TTEK icon
883
Tetra Tech
TTEK
$9.33B
$23K ﹤0.01%
1,015
– –
UAL icon
884
United Airlines
UAL
$41B
$23K ﹤0.01%
535
– –
UTG icon
885
Reaves Utility Income Fund
UTG
$3.69B
$23K ﹤0.01%
726
– –
FLXN
886
DELISTED
Flexion Therapeutics, Inc.
FLXN
$23K ﹤0.01%
2,000
– –
AMED
887
DELISTED
Amedisys
AMED
$22K ﹤0.01%
78
-2
-3% -$513
AXTA icon
888
Axalta
AXTA
$7.93B
$22K ﹤0.01%
775
– –
CQP icon
889
Cheniere Energy
CQP
$32.6B
$22K ﹤0.01%
636
– –
ELD icon
890
WisdomTree Emerging Markets Local Debt Fund
ELD
$143M
$22K ﹤0.01%
649
– –
NWS icon
891
News Corp Class B
NWS
$17.8B
$22K ﹤0.01%
1,253
– –
PCEF icon
892
Invesco CEF Income Composite ETF
PCEF
$823M
$22K ﹤0.01%
1,000
-4,200
-81% -$89.1K
PHG icon
893
Philips
PHG
$26.8B
$22K ﹤0.01%
520
– –
SHV icon
894
iShares 0-1 Year Treasury Bond ETF
SHV
$20.6B
$22K ﹤0.01%
200
– –
TAP icon
895
Molson Coors Class B
TAP
$7.85B
$22K ﹤0.01%
502
-565
-53% -$23.3K
TECH icon
896
Bio-Techne
TECH
$11.2B
$22K ﹤0.01%
288
-4
-1% -$290
UNOV icon
897
Innovator US Equity Ultra Buffer ETF November
UNOV
$110M
$22K ﹤0.01%
787
– –
VYX icon
898
NCR Voyix
VYX
$1.17B
$22K ﹤0.01%
962
– –
W icon
899
Wayfair
W
$13.9B
$22K ﹤0.01%
100
– –
XLRE icon
900
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.68B
$22K ﹤0.01%
616
– –
34 35
36
37 38

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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.