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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
+6.26%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.63B
AUM Growth
+$123M
Cap. Flow
+$37.1M
Cap. Flow %
2.28%
Top 10 Hldgs %
44.91%
Holding
1,828
New
214
Increased
473
Reduced
322
Closed
87

Top Buys

Rank Stock Value
1
GSST icon
Goldman Sachs Access Ultra Short Bond ETF
GSST
+$13.2M
2
NCNO icon
nCino
NCNO
+$8.92M
3
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$6.9M
4
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$4.11M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$2.88M

Top Sells

Rank Stock Value
1
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$8.31M
2
AGGY icon
WisdomTree Yield Enhanced US Aggregate Bond Fund
AGGY
+$7.6M
3
ARKK icon
ARK Innovation ETF
ARKK
+$5.41M
4
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$3.46M
5
KOMP icon
State Street SPDR S&P Kensho New Economies Composite ETF
KOMP
+$3.35M

Sector Composition

Rank Sector Weight
1 Technology 6.93%
2 Financials 5.5%
3 Healthcare 2.53%
4 Consumer Discretionary 2.28%
5 Consumer Staples 1.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RY icon
76
Royal Bank of Canada
RY
$294B
$3.15M 0.19%
34,154
-182
-0.5% -$15.8K
FLOT icon
77
iShares Floating Rate Bond ETF
FLOT
$10.5B
$3.13M 0.19%
61,660
-534
-0.9% -$27.1K
MINT icon
78
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17.1B
$3.08M 0.19%
30,241
+379
+1% +$38.7K
DGS icon
79
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.77B
$2.97M 0.18%
57,911
+7,010
+14% +$348K
T icon
80
AT&T
T
$165B
$2.96M 0.18%
129,474
-446
-0.3% -$9.86K
MDT icon
81
Medtronic
MDT
$114B
$2.92M 0.18%
24,701
-340
-1% -$39.8K
PSEP icon
82
Innovator US Equity Power Buffer ETF September
PSEP
$841M
$2.87M 0.18%
99,690
-122,423
-55% -$3.46M
VZ icon
83
Verizon
VZ
$195B
$2.84M 0.17%
48,797
-1,392
-3% -$78.6K
V icon
84
Visa
V
$672B
$2.81M 0.17%
13,258
+431
+3% +$90.7K
INTC icon
85
Intel
INTC
$497B
$2.8M 0.17%
43,708
-2,704
-6% -$161K
GOOG icon
86
Alphabet (Google) Class C
GOOG
$4.34T
$2.8M 0.17%
27,040
+2,660
+11% +$264K
SHY icon
87
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$2.72M 0.17%
31,524
+6,237
+25% +$538K
BRK.A icon
88
Berkshire Hathaway Class A
BRK.A
$1.14T
$2.7M 0.17%
7
– –
MCD icon
89
McDonald's
MCD
$193B
$2.64M 0.16%
11,774
-33
-0.3% -$7.06K
DBOC
90
DELISTED
Innovator Double Stacker 9 Buffer ETF - October
DBOC
$2.63M 0.16%
+94,034
New +$2.58M
IUSG icon
91
iShares Core S&P US Growth ETF
IUSG
$33.8B
$2.62M 0.16%
28,818
+326
+1% +$29.4K
FNDX icon
92
Schwab Fundamental US Large Company Index ETF
FNDX
$27.4B
$2.61M 0.16%
151,449
-94,884
-39% -$1.55M
PXF icon
93
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
$2.94B
$2.55M 0.16%
55,223
+24,289
+79% +$1.09M
AMAT icon
94
Applied Materials
AMAT
$419B
$2.51M 0.15%
18,796
-426
-2% -$47K
SON icon
95
Sonoco
SON
$5.67B
$2.49M 0.15%
39,414
+999
+3% +$60.9K
KJAN icon
96
Innovator US Small Cap Power Buffer ETF January
KJAN
$327M
$2.46M 0.15%
80,800
+10,900
+16% +$326K
CAT icon
97
Caterpillar
CAT
$386B
$2.38M 0.15%
10,244
+58
+0.6% +$12K
NUE icon
98
Nucor
NUE
$62.7B
$2.31M 0.14%
28,839
+1,222
+4% +$74.1K
OUSA icon
99
ALPS O'Shares U.S. Quality Dividend ETF
OUSA
$761M
$2.3M 0.14%
57,680
+343
+0.6% +$13.2K
CSX icon
100
CSX Corp
CSX
$92.9B
$2.29M 0.14%
71,388
+1,716
+2% +$52.4K
2 3
4
5 6

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Carroll Financial Associates's Q1 2021 Portfolio in Review

As of Q1 2021, Carroll Financial Associates held 1,828 positions worth $1.63B, up 8.2% from $1.5B the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates's Q1 2021 filing shows 214 new, 473 increased, 322 reduced and 87 closed positions. Its largest new stake was Goldman Sachs Access Ultra Short Bond ETF: 259,582 shares worth $13.2M. The largest sale was ARK Genomic Revolution ETF, an estimated $8.31M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7.1% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q1 2021 buy was Goldman Sachs Access Ultra Short Bond ETF: 259,582 shares worth $13.2M.
  • Carroll Financial Associates added most to JPMorgan Ultra-Short Income ETF in Q1 2021, an estimated $6.9M increase.
  • Carroll Financial Associates's biggest Q1 2021 reduction was ARK Genomic Revolution ETF, cutting an estimated $8.31M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF January in Q1 2021, selling an estimated $363K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $1.63B portfolio in Q1 2021.
  • Carroll Financial Associates opened 214 new positions and closed 87 in Q1 2021.
  • Carroll Financial Associates's portfolio value rose 8.2% quarter-over-quarter to $1.63B.

Based on Carroll Financial Associates's 13F filing for Q1 2021, filed 6 Apr 2021.