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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BIPC icon
1051
Brookfield Infrastructure
BIPC
$4.95B
$12K ﹤0.01%
251
– –
BUG icon
1052
Global X Cybersecurity ETF
BUG
$1.5B
$12K ﹤0.01%
451
– –
CALM icon
1053
Cal-Maine
CALM
$3.84B
$12K ﹤0.01%
323
-60
-16% -$2.31K
DLB icon
1054
Dolby
DLB
$5.68B
$12K ﹤0.01%
124
– –
EMB icon
1055
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.9B
$12K ﹤0.01%
106
-183
-63% -$20.7K
ETR icon
1056
Entergy
ETR
$50.2B
$12K ﹤0.01%
254
-52
-17% -$2.74K
KXI icon
1057
iShares Global Consumer Staples ETF
KXI
$1.06B
$12K ﹤0.01%
212
– –
MTN icon
1058
Vail Resorts
MTN
$5.28B
$12K ﹤0.01%
44
– –
PBH icon
1059
Prestige Consumer Healthcare
PBH
$2.51B
$12K ﹤0.01%
346
– –
PBT
1060
Permian Basin Royalty Trust
PBT
$1.56B
$12K ﹤0.01%
3,657
+50
+1% +$138
PLUG icon
1061
Plug Power
PLUG
$3.2B
$12K ﹤0.01%
+376
New +$8.51K
SEE
1062
DELISTED
Sealed Air
SEE
$12K ﹤0.01%
275
– –
SPG icon
1063
Simon Property Group
SPG
$71.4B
$12K ﹤0.01%
143
+25
+21% +$1.91K
TQQQ icon
1064
ProShares UltraPro QQQ
TQQQ
$37.5B
$12K ﹤0.01%
560
+416
+289% +$7.85K
TRP icon
1065
TC Energy
TRP
$66.7B
$12K ﹤0.01%
300
– –
GAP
1066
The Gap Inc
GAP
$7.25B
$12K ﹤0.01%
635
– –
LGF.B
1067
DELISTED
Lions Gate Entertainment Corp. Class B Non-Voting Shares
LGF.B
$12K ﹤0.01%
1,196
– –
NATI
1068
DELISTED
National Instruments Corp
NATI
$12K ﹤0.01%
276
-4
-1% -$149
RSX
1069
DELISTED
VanEck Russia ETF
RSX
$12K ﹤0.01%
500
– –
PS
1070
DELISTED
Pluralsight, Inc. Class A Common Stock
PS
$12K ﹤0.01%
580
-23
-4% -$411
AL
1071
DELISTED
Air Lease Corp
AL
$11K ﹤0.01%
264
– –
CATO icon
1072
Cato Corp
CATO
$65.9M
$11K ﹤0.01%
1,175
– –
CSQ icon
1073
Calamos Strategic Total Return Fund
CSQ
$3.36B
$11K ﹤0.01%
733
– –
DEM icon
1074
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.98B
$11K ﹤0.01%
289
+189
+189% +$7.24K
ENOV icon
1075
Enovis
ENOV
$1.39B
$11K ﹤0.01%
168
-13
-7% -$760
41 42
43
44 45

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.