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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
KOP icon
1076
Koppers
KOP
$949M
$8K ﹤0.01%
301
– –
LKQ icon
1077
LKQ Corp
LKQ
$6.19B
$8K ﹤0.01%
281
– –
LSTR icon
1078
Landstar System
LSTR
$6.12B
$8K ﹤0.01%
74
– –
MAIN icon
1079
Main Street Capital
MAIN
$5.39B
$8K ﹤0.01%
200
– –
MDIV icon
1080
First Trust Exchange-Traded Fund VI Multi-Asset Diversified Income Index Fund
MDIV
$427M
$8K ﹤0.01%
460
– –
MTD icon
1081
Mettler-Toledo International
MTD
$28.9B
$8K ﹤0.01%
12
-1
-8% -$734
MUX icon
1082
McEwen Inc
MUX
$1.17B
$8K ﹤0.01%
520
– –
NSA
1083
DELISTED
National Storage Affiliates Trust
NSA
$8K ﹤0.01%
258
– –
OFS icon
1084
OFS Capital
OFS
$49.6M
$8K ﹤0.01%
+700
New +$8.04K
RWX icon
1085
State Street SPDR Dow Jones International Real Estate ETF
RWX
$267M
$8K ﹤0.01%
227
-182
-44% -$7.08K
SCZ icon
1086
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.5B
$8K ﹤0.01%
148
– –
SPXC icon
1087
SPX Corp
SPXC
$10.7B
$8K ﹤0.01%
200
-8
-4% -$296
THC icon
1088
Tenet Healthcare
THC
$21B
$8K ﹤0.01%
401
– –
ZION icon
1089
Zions Bancorporation
ZION
$10.3B
$8K ﹤0.01%
200
– –
FFHG
1090
DELISTED
Formula Folios Hedged Growth ETF
FFHG
$8K ﹤0.01%
+321
New +$8.46K
MGU
1091
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$8K ﹤0.01%
366
– –
CIZ
1092
DELISTED
VictoryShares Developed Enhanced Volatility Wtd ETF
CIZ
$8K ﹤0.01%
279
-111
-28% -$3.46K
MYF
1093
DELISTED
Blackrock Muni Yield Investment Fund, Inc.
MYF
$8K ﹤0.01%
600
– –
ACB
1094
Aurora Cannabis
ACB
$177M
$7K ﹤0.01%
14
-12
-46% -$8.89K
AMN icon
1095
AMN Healthcare
AMN
$1.42B
$7K ﹤0.01%
132
– –
ASH icon
1096
Ashland
ASH
$3.46B
$7K ﹤0.01%
97
– –
AZTA icon
1097
Azenta
AZTA
$1.53B
$7K ﹤0.01%
192
– –
BBN icon
1098
BlackRock Taxable Municipal Bond Trust
BBN
$984M
$7K ﹤0.01%
300
– –
BGY icon
1099
BlackRock Enhanced International Dividend Trust
BGY
$531M
$7K ﹤0.01%
1,407
+8
+0.6% +$44
BKT icon
1100
BlackRock Income Trust
BKT
$341M
$7K ﹤0.01%
426
– –
42 43
44
45 46

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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.