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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MDT icon
76
Medtronic
MDT
$114B
$2.65M 0.2%
25,555
-625
-2% -$62.8K
PXH icon
77
Invesco FTSE RAFI Emerging Markets ETF
PXH
$1.98B
$2.61M 0.2%
148,980
+602
+0.4% +$11K
V icon
78
Visa
V
$675B
$2.52M 0.19%
12,613
-4
-0% -$799
RY icon
79
Royal Bank of Canada
RY
$293B
$2.45M 0.19%
34,936
– –
SON icon
80
Sonoco
SON
$5.72B
$2.35M 0.18%
46,040
+1,153
+3% +$61K
SPTL icon
81
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
$10.7B
$2.35M 0.18%
+50,266
New +$2.38M
D icon
82
Dominion Energy
D
$59.1B
$2.33M 0.18%
29,471
-702
-2% -$55.1K
VOO icon
83
Vanguard S&P 500 ETF
VOO
$1.03T
$2.31M 0.18%
7,513
+4,441
+145% +$1.35M
SHY icon
84
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$2.3M 0.18%
26,585
+4,633
+21% +$401K
IUSG icon
85
iShares Core S&P US Growth ETF
IUSG
$33.8B
$2.28M 0.18%
28,485
+1,013
+4% +$79.4K
INTC icon
86
Intel
INTC
$492B
$2.25M 0.17%
43,378
+1,936
+5% +$101K
BRK.A icon
87
Berkshire Hathaway Class A
BRK.A
$1.14T
$2.24M 0.17%
7
– –
GOOGL icon
88
Alphabet (Google) Class A
GOOGL
$4.37T
$2.19M 0.17%
29,820
+20
+0.1% +$1.52K
EMBD icon
89
Global X Emerging Markets Bond ETF
EMBD
$249M
$2.17M 0.17%
+82,142
New +$2.19M
MRK icon
90
Merck
MRK
$323B
$2.15M 0.17%
27,213
-149
-0.5% -$11.7K
WMT icon
91
Walmart Inc
WMT
$897B
$2.12M 0.16%
45,405
-663
-1% -$29.5K
DGS icon
92
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.77B
$2.03M 0.16%
49,087
+3,297
+7% +$138K
ABT icon
93
Abbott
ABT
$188B
$2.02M 0.16%
18,533
-283
-2% -$28.7K
PREF icon
94
Principal Spectrum Preferred Securities Active ETF
PREF
$1.78B
$1.93M 0.15%
96,094
+27,689
+40% +$552K
AMGN icon
95
Amgen
AMGN
$226B
$1.93M 0.15%
7,574
+41
+0.5% +$10.2K
UPS icon
96
United Parcel Service
UPS
$89.1B
$1.84M 0.14%
11,076
-439
-4% -$63.9K
SO icon
97
Southern Company
SO
$105B
$1.83M 0.14%
33,781
-1,288
-4% -$68.8K
GOOG icon
98
Alphabet (Google) Class C
GOOG
$4.35T
$1.81M 0.14%
24,700
-440
-2% -$33.6K
CSX icon
99
CSX Corp
CSX
$92.8B
$1.81M 0.14%
69,837
-6,006
-8% -$148K
JHML icon
100
John Hancock Multifactor Large Cap ETF
JHML
$1.2B
$1.76M 0.14%
42,250
+4,547
+12% +$187K
2 3
4
5 6

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NFG
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6M
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RFA
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CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
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RM
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Carroll Financial Associates's Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.