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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
A icon
1026
Agilent Technologies
A
$41.9B
$9K ﹤0.01%
123
– –
BBP icon
1027
Virtus Biotech ETF
BBP
$106M
$9K ﹤0.01%
253
– –
BKR icon
1028
Baker Hughes
BKR
$63.3B
$9K ﹤0.01%
400
+24
+6% +$563
BL icon
1029
BlackLine
BL
$1.71B
$9K ﹤0.01%
190
– –
CHY
1030
Calamos Convertible and High Income Fund
CHY
$1.07B
$9K ﹤0.01%
880
– –
CSQ icon
1031
Calamos Strategic Total Return Fund
CSQ
$3.36B
$9K ﹤0.01%
733
-1,575
-68% -$20.2K
DVN icon
1032
Devon Energy
DVN
$49.5B
$9K ﹤0.01%
390
– –
EXG icon
1033
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$3.07B
$9K ﹤0.01%
1,150
-495
-30% -$4.05K
FWONK icon
1034
Liberty Media Series C
FWONK
$25.7B
$9K ﹤0.01%
236
– –
IFF icon
1035
International Flavors & Fragrances
IFF
$21.6B
$9K ﹤0.01%
76
– –
MCO icon
1036
Moody's
MCO
$83.1B
$9K ﹤0.01%
46
– –
MCR
1037
DELISTED
MFS Charter Income Trust
MCR
$9K ﹤0.01%
1,085
– –
MIDD icon
1038
Middleby
MIDD
$5.9B
$9K ﹤0.01%
77
-2,154
-97% -$264K
NTLA icon
1039
Intellia Therapeutics
NTLA
$1.69B
$9K ﹤0.01%
744
+708
+1,967% +$11.3K
PAA icon
1040
Plains All American Pipeline
PAA
$16.3B
$9K ﹤0.01%
477
-173
-27% -$3.91K
SA
1041
Seabridge Gold
SA
$3.37B
$9K ﹤0.01%
713
– –
SMG icon
1042
ScottsMiracle-Gro
SMG
$3.59B
$9K ﹤0.01%
98
– –
SRLN icon
1043
State Street Blackstone Senior Loan ETF
SRLN
$5.35B
$9K ﹤0.01%
197
+2
+1% +$92
STWD icon
1044
Starwood Property Trust
STWD
$6.09B
$9K ﹤0.01%
383
– –
TRIP icon
1045
TripAdvisor
TRIP
$1.25B
$9K ﹤0.01%
250
– –
WSBC icon
1046
WesBanco
WSBC
$3.98B
$9K ﹤0.01%
251
– –
JBTM
1047
JBT Marel
JBTM
$6.29B
$9K ﹤0.01%
92
– –
LGF.A
1048
DELISTED
Lions Gate Entertainment Corp. Class A Voting Shares
LGF.A
$9K ﹤0.01%
1,011
– –
CVET
1049
DELISTED
Covetrus, Inc. Common Stock
CVET
$9K ﹤0.01%
800
– –
WORK
1050
DELISTED
Slack Technologies, Inc.
WORK
$9K ﹤0.01%
+418
New +$12.7K
40 41
42
43 44

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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.