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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HCSG icon
1001
Healthcare Services Group
HCSG
$1.52B
$10K ﹤0.01%
414
– –
HEZU icon
1002
iShares Currency Hedged MSCI Eurozone ETF
HEZU
$585M
$10K ﹤0.01%
345
– –
HPE icon
1003
Hewlett Packard
HPE
$73.1B
$10K ﹤0.01%
685
-72
-10% -$1.02K
HSBC icon
1004
HSBC
HSBC
$354B
$10K ﹤0.01%
270
-412
-60% -$16K
IBN icon
1005
ICICI Bank
IBN
$108B
$10K ﹤0.01%
886
– –
LADR
1006
Ladder Capital
LADR
$1.21B
$10K ﹤0.01%
+588
New +$9.95K
LBRDK icon
1007
Liberty Broadband Class C
LBRDK
$5.11B
$10K ﹤0.01%
98
– –
LBTYK icon
1008
Liberty Global Class C
LBTYK
$3.42B
$10K ﹤0.01%
448
– –
SCHP icon
1009
Schwab US TIPS ETF
SCHP
$16.2B
$10K ﹤0.01%
386
-66
-15% -$1.87K
SHOP icon
1010
Shopify
SHOP
$198B
$10K ﹤0.01%
340
+100
+42% +$3.42K
SMFG icon
1011
Sumitomo Mitsui Financial
SMFG
$160B
$10K ﹤0.01%
1,576
-1,407
-47% -$9.61K
SMH icon
1012
VanEck Semiconductor ETF
SMH
$70.7B
$10K ﹤0.01%
+172
New +$9.95K
SPH icon
1013
Suburban Propane Partners
SPH
$1.18B
$10K ﹤0.01%
425
– –
SRVR icon
1014
Pacer Data & Infrastructure Real Estate ETF
SRVR
$377M
$10K ﹤0.01%
+330
New +$10.2K
TDOC icon
1015
Teladoc Health
TDOC
$1.3B
$10K ﹤0.01%
151
-59
-28% -$3.88K
TRN icon
1016
Trinity Industries
TRN
$2.29B
$10K ﹤0.01%
545
– –
XBI icon
1017
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$10K ﹤0.01%
141
– –
LGF.B
1018
DELISTED
Lions Gate Entertainment Corp. Class B Non-Voting Shares
LGF.B
$10K ﹤0.01%
1,231
– –
SEAC
1019
DELISTED
Seachange International Inc
SEAC
$10K ﹤0.01%
+175
New +$7.6K
GWPH
1020
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
$10K ﹤0.01%
89
-17
-16% -$2.58K
BSJK
1021
DELISTED
Invesco BulletShares 2020 High Yield Corporate Bond ETF
BSJK
$10K ﹤0.01%
445
-83
-16% -$1.99K
S
1022
DELISTED
Sprint Corporation
S
$10K ﹤0.01%
1,776
+2
+0.1% +$14
BSCJ
1023
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
$10K ﹤0.01%
515
-577
-53% -$12.2K
BSCK
1024
DELISTED
Invesco BulletShares 2020 Corporate Bond ETF
BSCK
$10K ﹤0.01%
515
-574
-53% -$12.2K
PSXP
1025
DELISTED
PHILLIPS 66 PARTNERS LP
PSXP
$10K ﹤0.01%
178
– –
39 40
41
42 43

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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

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

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.