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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
HCAQ
951
DELISTED
HealthCor Catalio Acquisition Corp. Class A Ordinary Shares
HCAQ
$24K ﹤0.01%
+2,503
New +$24.8K
EFOR
952
Everforth Inc
EFOR
$1.35B
$23K ﹤0.01%
209
– –
LEGR icon
953
First Trust Indxx Innovative Transaction & Process ETF
LEGR
$133M
$23K ﹤0.01%
565
– –
NWS icon
954
News Corp Class B
NWS
$17.7B
$23K ﹤0.01%
1,026
– –
PBT
955
Permian Basin Royalty Trust
PBT
$1.52B
$23K ﹤0.01%
4,044
+44
+1% +$233
PCEF icon
956
Invesco CEF Income Composite ETF
PCEF
$817M
$23K ﹤0.01%
1,000
– –
PLTM icon
957
GraniteShares Platinum Shares
PLTM
$189M
$23K ﹤0.01%
2,453
+86
+4% +$864
RELX icon
958
RELX
RELX
$61.7B
$23K ﹤0.01%
821
+14
+2% +$413
SPG icon
959
Simon Property Group
SPG
$71.2B
$23K ﹤0.01%
177
+17
+11% +$2.21K
TM icon
960
Toyota
TM
$225B
$23K ﹤0.01%
130
+3
+2% +$536
UNOV icon
961
Innovator US Equity Ultra Buffer ETF November
UNOV
$109M
$23K ﹤0.01%
787
– –
USEP icon
962
Innovator US Equity Ultra Buffer ETF September
USEP
$146M
$23K ﹤0.01%
+854
New +$24K
UTG icon
963
Reaves Utility Income Fund
UTG
$3.63B
$23K ﹤0.01%
726
– –
A icon
964
Agilent Technologies
A
$42.2B
$22K ﹤0.01%
141
– –
AXTA icon
965
Axalta
AXTA
$7.98B
$22K ﹤0.01%
775
– –
BMRN icon
966
BioMarin Pharmaceuticals
BMRN
$13.5B
$22K ﹤0.01%
294
– –
FBND icon
967
Fidelity Total Bond ETF
FBND
$27.3B
$22K ﹤0.01%
429
+11
+3% +$590
FLTR icon
968
VanEck IG Floating Rate ETF
FLTR
$3.04B
$22K ﹤0.01%
877
– –
NCLH icon
969
Norwegian Cruise Line
NCLH
$8.59B
$22K ﹤0.01%
827
-537
-39% -$13.7K
POR icon
970
Portland General Electric
POR
$5.69B
$22K ﹤0.01%
488
+9
+2% +$443
RDN icon
971
Radian Group
RDN
$4.86B
$22K ﹤0.01%
1,005
– –
SHV icon
972
iShares 0-1 Year Treasury Bond ETF
SHV
$20.6B
$22K ﹤0.01%
200
-725
-78% -$80.1K
ST icon
973
Sensata Technologies
ST
$6.73B
$22K ﹤0.01%
406
– –
SYF icon
974
Synchrony
SYF
$25.5B
$22K ﹤0.01%
461
-246
-35% -$12K
CSF
975
DELISTED
VictoryShares US Discovery Enhanced Volatility Wtd ETF
CSF
$22K ﹤0.01%
364
– –
37 38
39
40 41

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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.