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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CC icon
926
Chemours
CC
$2.2B
$13K ﹤0.01%
881
-400
-31% -$6.51K
CGNX icon
927
Cognex
CGNX
$10.8B
$13K ﹤0.01%
282
+13
+5% +$587
CWB icon
928
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.59B
$13K ﹤0.01%
252
– –
DFS
929
DELISTED
Discover Financial Services
DFS
$13K ﹤0.01%
166
– –
ESS icon
930
Essex Property Trust
ESS
$18.2B
$13K ﹤0.01%
40
– –
ETG
931
Eaton Vance Tax-Advantaged Global Dividend Income Fund
ETG
$1.86B
$13K ﹤0.01%
800
– –
FYX icon
932
First Trust Small Cap Core AlphaDEX Fund
FYX
$1.4B
$13K ﹤0.01%
+217
New +$13K
GLOB icon
933
Globant
GLOB
$1.66B
$13K ﹤0.01%
151
– –
LW icon
934
Lamb Weston
LW
$7.12B
$13K ﹤0.01%
184
-102
-36% -$7K
MOO icon
935
VanEck Agribusiness ETF
MOO
$978M
$13K ﹤0.01%
200
– –
NTES icon
936
NetEase
NTES
$85.4B
$13K ﹤0.01%
245
– –
RODM icon
937
Hartford Multifactor Developed Markets ex-US ETF
RODM
$1.65B
$13K ﹤0.01%
+472
New +$13.1K
SLX icon
938
VanEck Steel ETF
SLX
$176M
$13K ﹤0.01%
402
– –
CERN
939
DELISTED
Cerner Corp
CERN
$13K ﹤0.01%
200
– –
STAY
940
DELISTED
Extended Stay America, Inc. Paired Share Unit
STAY
$13K ﹤0.01%
908
+279
+44% +$4.26K
AL
941
DELISTED
Air Lease Corp
AL
$12K ﹤0.01%
305
– –
ALRM icon
942
Alarm.com
ALRM
$2.79B
$12K ﹤0.01%
261
+89
+52% +$4.36K
AOS icon
943
A.O. Smith
AOS
$8.48B
$12K ﹤0.01%
272
-442
-62% -$20.4K
BWXT icon
944
BWX Technologies
BWXT
$15.5B
$12K ﹤0.01%
226
-19
-8% -$1.06K
MIDU icon
945
Direxion Daily Mid Cap Bull 3X ETF
MIDU
$78.5M
$12K ﹤0.01%
298
+1
+0.3% +$41
MOAT icon
946
VanEck Morningstar Wide Moat ETF
MOAT
$12.4B
$12K ﹤0.01%
242
– –
NEOG icon
947
Neogen
NEOG
$2.49B
$12K ﹤0.01%
380
– –
PBH icon
948
Prestige Consumer Healthcare
PBH
$2.51B
$12K ﹤0.01%
346
– –
REG icon
949
Regency Centers
REG
$13.9B
$12K ﹤0.01%
177
– –
ROL icon
950
Rollins
ROL
$17.9B
$12K ﹤0.01%
536
– –
36 37
38
39 40

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RFA
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CCT
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C
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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.