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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
-12.12%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$899M
AUM Growth
-$46.6M
Cap. Flow
+$64.5M
Cap. Flow %
7.17%
Top 10 Hldgs %
51.54%
Holding
1,465
New
87
Increased
269
Reduced
314
Closed
79

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$95.8M
2
ARKK icon
ARK Innovation ETF
ARKK
+$3.83M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.05M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$2.76M
5
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$2.26M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$26.6M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.04M
3
RTX icon
RTX Corp
RTX
+$4.17M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.03M
5
RNRG icon
Global X Renewable Energy Producers ETF
RNRG
+$3.43M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Technology 5.12%
3 Healthcare 3.27%
4 Energy 2.86%
5 Consumer Staples 2.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DLB icon
976
Dolby
DLB
$5.79B
$6K ﹤0.01%
105
– –
EMLC icon
977
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.8B
$6K ﹤0.01%
195
-1
-0.5% -$33
EXLS icon
978
EXL Service
EXLS
$5.29B
$6K ﹤0.01%
600
– –
FAX
979
abrdn Asia-Pacific Income Fund
FAX
$600M
$6K ﹤0.01%
289
– –
FHI icon
980
Federated Hermes
FHI
$4.72B
$6K ﹤0.01%
258
-500
-66% -$12.4K
FLR icon
981
Fluor
FLR
$7.96B
$6K ﹤0.01%
178
– –
GDL
982
GDL Fund
GDL
$92.1M
$6K ﹤0.01%
698
– –
GDV icon
983
Gabelli Dividend & Income Trust
GDV
$2.66B
$6K ﹤0.01%
350
– –
GSHD icon
984
Goosehead Insurance
GSHD
$2.32B
$6K ﹤0.01%
240
– –
HACK icon
985
Amplify Cybersecurity ETF
HACK
$2.91B
$6K ﹤0.01%
181
– –
HUM icon
986
Humana
HUM
$46.2B
$6K ﹤0.01%
25
+4
+19% +$1.27K
IYY icon
987
iShares Dow Jones US ETF
IYY
$3.07B
$6K ﹤0.01%
108
– –
KOP icon
988
Koppers
KOP
$969M
$6K ﹤0.01%
301
– –
LKQ icon
989
LKQ Corp
LKQ
$6.29B
$6K ﹤0.01%
281
– –
LVS icon
990
Las Vegas Sands
LVS
$29.6B
$6K ﹤0.01%
123
-60
-33% -$3.25K
MDY icon
991
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.1B
$6K ﹤0.01%
20
– –
MIDD icon
992
Middleby
MIDD
$6.08B
$6K ﹤0.01%
66
– –
MYD
993
DELISTED
BlackRock MuniYield Fund
MYD
$6K ﹤0.01%
512
– –
NGG icon
994
National Grid
NGG
$81.3B
$6K ﹤0.01%
155
– –
NSA
995
DELISTED
National Storage Affiliates Trust
NSA
$6K ﹤0.01%
258
+183
+244% +$4.9K
OUSM icon
996
ALPS O'Shares US Small-Cap Quality Dividend ETF
OUSM
$885M
$6K ﹤0.01%
290
– –
PSCF icon
997
Invesco S&P SmallCap Financials ETF
PSCF
$27.3M
$6K ﹤0.01%
132
– –
SDOG icon
998
ALPS Sector Dividend Dogs ETF
SDOG
$1.43B
$6K ﹤0.01%
151
+2
+1% +$87
VLY icon
999
Valley National Bancorp
VLY
$8.04B
$6K ﹤0.01%
+708
New +$7.14K
WES icon
1000
Western Midstream Partners
WES
$19.3B
$6K ﹤0.01%
199
– –
38 39
40
41 42

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6M
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RFA
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CCT
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Carroll Financial Associates's Q4 2018 Portfolio in Review

As of Q4 2018, Carroll Financial Associates held 1,465 positions worth $899M, down 4.9% from $945M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Carroll Financial Associates deployed $64.5M of net new capital in Q4 2018, opening 87 new positions and adding to 269 existing holdings. Its largest new stake was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, down from 8% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $26.6M trimmed.

  • Carroll Financial Associates's largest Q4 2018 buy was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.
  • Carroll Financial Associates added most to ARK Innovation ETF in Q4 2018, an estimated $3.83M increase.
  • Carroll Financial Associates's biggest Q4 2018 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $26.6M.
  • Carroll Financial Associates fully exited Aetna Inc in Q4 2018, selling an estimated $1.34M.
  • Carroll Financial Associates's ten largest holdings make up 52% of its $899M portfolio in Q4 2018.
  • Carroll Financial Associates opened 87 new positions and closed 79 in Q4 2018.
  • Carroll Financial Associates's portfolio value fell 4.9% quarter-over-quarter to $899M.

Based on Carroll Financial Associates's 13F filing for Q4 2018, filed 11 Jan 2019.