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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ANF icon
976
Abercrombie & Fitch
ANF
$5.25B
$13K ﹤0.01%
800
-404
-34% -$6.68K
AOS icon
977
A.O. Smith
AOS
$8.49B
$13K ﹤0.01%
274
+2
+0.7% +$97
APO icon
978
Apollo Global Management
APO
$75.2B
$13K ﹤0.01%
293
+67
+30% +$2.86K
CWB icon
979
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.6B
$13K ﹤0.01%
252
– –
HAIN icon
980
Hain Celestial
HAIN
$54.2M
$13K ﹤0.01%
538
-262
-33% -$6.26K
KMPR icon
981
Kemper
KMPR
$1.55B
$13K ﹤0.01%
180
– –
KYN icon
982
Kayne Anderson Energy Infrastructure Fund
KYN
$2.45B
$13K ﹤0.01%
1,000
– –
MOAT icon
983
VanEck Morningstar Wide Moat ETF
MOAT
$12.4B
$13K ﹤0.01%
242
– –
MOO icon
984
VanEck Agribusiness ETF
MOO
$976M
$13K ﹤0.01%
200
– –
NEM icon
985
Newmont
NEM
$122B
$13K ﹤0.01%
304
– –
PBT
986
Permian Basin Royalty Trust
PBT
$1.51B
$13K ﹤0.01%
3,388
+89
+3% +$358
RODM icon
987
Hartford Multifactor Developed Markets ex-US ETF
RODM
$1.65B
$13K ﹤0.01%
472
– –
WTW icon
988
Willis Towers Watson
WTW
$32B
$13K ﹤0.01%
65
– –
XBI icon
989
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$13K ﹤0.01%
141
– –
BKI
990
DELISTED
Black Knight, Inc. Common Stock
BKI
$13K ﹤0.01%
217
+6
+3% +$371
STAY
991
DELISTED
Extended Stay America, Inc. Paired Share Unit
STAY
$13K ﹤0.01%
908
– –
BOND icon
992
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.46B
$12K ﹤0.01%
120
-157
-57% -$17K
BTT icon
993
BlackRock Municipal 2030 Target Term Trust
BTT
$1.44B
$12K ﹤0.01%
500
– –
DOX icon
994
Amdocs
DOX
$6.21B
$12K ﹤0.01%
171
– –
ESS icon
995
Essex Property Trust
ESS
$18.1B
$12K ﹤0.01%
40
– –
HUM icon
996
Humana
HUM
$46.5B
$12K ﹤0.01%
33
– –
IBN icon
997
ICICI Bank
IBN
$108B
$12K ﹤0.01%
800
-86
-10% -$1.17K
JAZZ icon
998
Jazz Pharmaceuticals
JAZZ
$16.7B
$12K ﹤0.01%
86
– –
KKR icon
999
KKR & Co
KKR
$93.3B
$12K ﹤0.01%
416
-458
-52% -$13K
KTB icon
1000
Kontoor Brands
KTB
$4.24B
$12K ﹤0.01%
300
-33
-10% -$1.25K
38 39
40
41 42

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Carroll Financial Associates's Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

By sector, the portfolio is most concentrated in Financials at 6.8% of assets, down from 6.9% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.