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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
SRCL
901
DELISTED
Stericycle Inc
SRCL
$22K ﹤0.01%
328
– –
JPS
902
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$22K ﹤0.01%
2,284
– –
COUP
903
DELISTED
Coupa Software Incorporated
COUP
$22K ﹤0.01%
65
-164
-72% -$50.7K
MNDT
904
DELISTED
Mandiant, Inc. Common Stock
MNDT
$22K ﹤0.01%
995
– –
PCI
905
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$22K ﹤0.01%
1,040
– –
BRO icon
906
Brown & Brown
BRO
$24B
$21K ﹤0.01%
455
– –
CLIX icon
907
ProShares Long Online/Short Stores ETF
CLIX
$6.24M
$21K ﹤0.01%
233
-519
-69% -$46K
CRI icon
908
Carter's
CRI
$1.44B
$21K ﹤0.01%
+230
New +$20.2K
EEFT icon
909
Euronet Worldwide
EEFT
$2.78B
$21K ﹤0.01%
147
– –
EQR icon
910
Equity Residential
EQR
$24.7B
$21K ﹤0.01%
365
– –
JHMM icon
911
John Hancock Multifactor Mid Cap ETF
JHMM
$6.18B
$21K ﹤0.01%
+477
New +$19.9K
KRNT icon
912
Kornit Digital
KRNT
$827M
$21K ﹤0.01%
244
-4
-2% -$307
LOPE icon
913
Grand Canyon Education
LOPE
$3.79B
$21K ﹤0.01%
226
-4
-2% -$341
MCO icon
914
Moody's
MCO
$84.6B
$21K ﹤0.01%
73
– –
RODM icon
915
Hartford Multifactor Developed Markets ex-US ETF
RODM
$1.65B
$21K ﹤0.01%
754
+282
+60% +$7.67K
ST icon
916
Sensata Technologies
ST
$6.61B
$21K ﹤0.01%
406
– –
USA icon
917
Liberty All-Star Equity Fund
USA
$1.87B
$21K ﹤0.01%
3,048
– –
WKHS icon
918
Workhorse Group
WKHS
$33.1M
– –
0
– –
BFAM icon
919
Bright Horizons
BFAM
$3.85B
$20K ﹤0.01%
120
+3
+3% +$491
CMP icon
920
Compass Minerals
CMP
$1.1B
$20K ﹤0.01%
325
– –
DRIV icon
921
Global X Autonomous & Electric Vehicles ETF
DRIV
$394M
$20K ﹤0.01%
875
– –
GHYG icon
922
iShares US & Intl High Yield Corp Bond ETF
GHYG
$199M
$20K ﹤0.01%
401
– –
KKR icon
923
KKR & Co
KKR
$103B
$20K ﹤0.01%
508
– –
MIN
924
Aberdeen Intermediate Income Fund
MIN
$280M
$20K ﹤0.01%
5,500
– –
PCY icon
925
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.4B
$20K ﹤0.01%
717
– –
35 36
37
38 39

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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.