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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
EDIT icon
1101
Editas Medicine
EDIT
$433M
$7K ﹤0.01%
325
– –
EQH icon
1102
Equitable Holdings
EQH
$14.4B
$7K ﹤0.01%
346
– –
FAX
1103
abrdn Asia-Pacific Income Fund
FAX
$598M
$7K ﹤0.01%
289
– –
FEX icon
1104
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.61B
$7K ﹤0.01%
130
– –
FTSM icon
1105
First Trust Enhanced Short Maturity ETF
FTSM
$6.54B
$7K ﹤0.01%
126
– –
HHH icon
1106
Howard Hughes
HHH
$3.97B
$7K ﹤0.01%
62
– –
HIG icon
1107
Hartford Financial Services
HIG
$38.8B
$7K ﹤0.01%
120
– –
IMMR icon
1108
Immersion
IMMR
$255M
$7K ﹤0.01%
1,000
– –
ITUB icon
1109
Itaú Unibanco
ITUB
$87.2B
$7K ﹤0.01%
1,300
– –
IXC icon
1110
iShares Global Energy ETF
IXC
$2.69B
$7K ﹤0.01%
250
-130
-34% -$3.98K
IYY icon
1111
iShares Dow Jones US ETF
IYY
$3.07B
$7K ﹤0.01%
108
– –
MYD
1112
DELISTED
BlackRock MuniYield Fund
MYD
$7K ﹤0.01%
512
– –
NGG icon
1113
National Grid
NGG
$79.7B
$7K ﹤0.01%
157
– –
OIH icon
1114
VanEck Oil Services ETF
OIH
$1.92B
$7K ﹤0.01%
31
– –
PNR icon
1115
Pentair
PNR
$10.7B
$7K ﹤0.01%
190
– –
PSCF icon
1116
Invesco S&P SmallCap Financials ETF
PSCF
$27M
$7K ﹤0.01%
132
-104
-44% -$5.58K
RVT icon
1117
Royce Value Trust
RVT
$2.3B
$7K ﹤0.01%
545
+10
+2% +$138
RYAAY icon
1118
Ryanair
RYAAY
$31.1B
$7K ﹤0.01%
268
– –
SPEM icon
1119
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17.7B
$7K ﹤0.01%
207
+60
+41% +$2.08K
TAC icon
1120
TransAlta
TAC
$3.91B
$7K ﹤0.01%
+1,198
New +$7.59K
TD icon
1121
Toronto Dominion Bank
TD
$201B
$7K ﹤0.01%
136
– –
WCC
1122
WESCO International
WCC
$17.9B
$7K ﹤0.01%
150
-547
-78% -$25.7K
WCN
1123
Waste Connections
WCN
$41.7B
$7K ﹤0.01%
82
– –
WDC icon
1124
Western Digital
WDC
$155B
$7K ﹤0.01%
156
-1
-0.6% -$43
WDFC icon
1125
WD-40
WDFC
$3.14B
$7K ﹤0.01%
40
– –
43 44
45
46 47

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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.