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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
MDT icon
76
Medtronic
MDT
$114B
$2.93M 0.2%
25,041
-514
-2% -$56.6K
T icon
77
AT&T
T
$164B
$2.82M 0.19%
129,920
-2,252
-2% -$48.6K
RY icon
78
Royal Bank of Canada
RY
$295B
$2.82M 0.19%
34,336
-600
-2% -$46.4K
FCNCA icon
79
First Citizens BancShares
FCNCA
$25.3B
$2.81M 0.19%
4,890
– –
V icon
80
Visa
V
$672B
$2.81M 0.19%
12,827
+214
+2% +$43.8K
GOOGL icon
81
Alphabet (Google) Class A
GOOGL
$4.33T
$2.74M 0.18%
31,240
+1,420
+5% +$119K
CSB icon
82
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
$264M
$2.55M 0.17%
51,018
+31,065
+156% +$1.38M
MCD icon
83
McDonald's
MCD
$194B
$2.53M 0.17%
11,807
-348
-3% -$75.7K
IUSG icon
84
iShares Core S&P US Growth ETF
IUSG
$33.8B
$2.53M 0.17%
28,492
+7
+0% +$589
RQI icon
85
Cohen & Steers Quality Income Realty Fund
RQI
$1.68B
$2.52M 0.17%
203,373
+101,672
+100% +$1.19M
PDEC icon
86
Innovator US Equity Power Buffer ETF December
PDEC
$997M
$2.52M 0.17%
86,870
-48,378
-36% -$1.37M
BRK.A icon
87
Berkshire Hathaway Class A
BRK.A
$1.15T
$2.43M 0.16%
7
– –
DGS icon
88
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.77B
$2.43M 0.16%
50,901
+1,814
+4% +$80.8K
INTC icon
89
Intel
INTC
$502B
$2.31M 0.15%
46,412
+3,034
+7% +$148K
SON icon
90
Sonoco
SON
$5.68B
$2.28M 0.15%
38,415
-7,625
-17% -$429K
OUSA icon
91
ALPS O'Shares U.S. Quality Dividend ETF
OUSA
$762M
$2.19M 0.15%
57,337
+11,994
+26% +$445K
SHY icon
92
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$2.18M 0.15%
25,287
-1,298
-5% -$112K
D icon
93
Dominion Energy
D
$59.1B
$2.15M 0.14%
28,559
-912
-3% -$72.5K
WMT icon
94
Walmart Inc
WMT
$890B
$2.15M 0.14%
44,667
-738
-2% -$35.8K
GOOG icon
95
Alphabet (Google) Class C
GOOG
$4.32T
$2.13M 0.14%
24,380
-320
-1% -$27K
TSLA icon
96
Tesla
TSLA
$1.3T
$2.13M 0.14%
9,042
+1,275
+16% +$218K
CSX icon
97
CSX Corp
CSX
$93.3B
$2.11M 0.14%
69,672
-165
-0.2% -$4.74K
MRK icon
98
Merck
MRK
$323B
$2.08M 0.14%
26,722
-491
-2% -$37.6K
ABT icon
99
Abbott
ABT
$188B
$2.06M 0.14%
18,808
+275
+1% +$29.9K
KJAN icon
100
Innovator US Small Cap Power Buffer ETF January
KJAN
$327M
$2.03M 0.13%
+69,900
New +$1.94M
2 3
4
5 6

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6M
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RFA
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CCT
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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.