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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EMLC icon
1026
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.8B
$6K ﹤0.01%
196
– –
EQNR icon
1027
Equinor
EQNR
$92.4B
$6K ﹤0.01%
246
– –
ETY icon
1028
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
$2.33B
$6K ﹤0.01%
490
+50
+11% +$634
EWU icon
1029
iShares MSCI United Kingdom ETF
EWU
$4.16B
$6K ﹤0.01%
185
– –
EXI icon
1030
iShares Global Industrials ETF
EXI
$1.48B
$6K ﹤0.01%
65
– –
EZM icon
1031
WisdomTree US MidCap Fund
EZM
$956M
$6K ﹤0.01%
165
– –
GDL
1032
GDL Fund
GDL
$92.1M
$6K ﹤0.01%
698
– –
GRFS
1033
Grifois
GRFS
$5.4B
$6K ﹤0.01%
313
– –
HEQ
1034
John Hancock Hedged Equity & Income Fund
HEQ
$140M
$6K ﹤0.01%
442
– –
KBE icon
1035
State Street SPDR S&P Bank ETF
KBE
$1.71B
$6K ﹤0.01%
135
– –
KR icon
1036
Kroger
KR
$34.8B
$6K ﹤0.01%
210
-225
-52% -$6.7K
MYD
1037
DELISTED
BlackRock MuniYield Fund
MYD
$6K ﹤0.01%
512
– –
NCV
1038
Virtus Convertible & Income Fund
NCV
$390M
$6K ﹤0.01%
247
– –
PINC
1039
DELISTED
Premier
PINC
$6K ﹤0.01%
141
– –
PLD icon
1040
Prologis
PLD
$133B
$6K ﹤0.01%
89
+22
+33% +$1.45K
RDIV icon
1041
Invesco S&P Ultra Dividend Revenue ETF
RDIV
$1.39B
$6K ﹤0.01%
+164
New +$6.37K
RWK icon
1042
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.35B
$6K ﹤0.01%
100
– –
SDOG icon
1043
ALPS Sector Dividend Dogs ETF
SDOG
$1.43B
$6K ﹤0.01%
149
+1
+0.7% +$46
SHG icon
1044
Shinhan Financial Group
SHG
$35.6B
$6K ﹤0.01%
158
– –
SPXC icon
1045
SPX Corp
SPXC
$10.8B
$6K ﹤0.01%
208
– –
TNL icon
1046
Travel + Leisure Co
TNL
$4.7B
$6K ﹤0.01%
140
– –
VVR icon
1047
Invesco Senior Income Trust
VVR
$454M
$6K ﹤0.01%
1,468
– –
WPP icon
1048
WPP
WPP
$5.94B
$6K ﹤0.01%
89
– –
WU icon
1049
Western Union
WU
$2.21B
$6K ﹤0.01%
324
+3
+0.9% +$58
XSLV icon
1050
Invesco S&P SmallCap Low Volatility ETF
XSLV
$249M
$6K ﹤0.01%
123
– –
40 41
42
43 44

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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.