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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OMC icon
1101
Omnicom Group
OMC
$23.1B
$9K ﹤0.01%
120
+73
+155% +$5.72K
RFV icon
1102
Invesco S&P MidCap 400 Pure Value ETF
RFV
$338M
$9K ﹤0.01%
+141
New +$9.42K
RYAAY icon
1103
Ryanair
RYAAY
$31B
$9K ﹤0.01%
268
– –
RZV icon
1104
Invesco S&P SmallCap 600 Pure Value ETF
RZV
$304M
$9K ﹤0.01%
+141
New +$9.36K
SA
1105
Seabridge Gold
SA
$3.37B
$9K ﹤0.01%
713
– –
SCZ icon
1106
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.5B
$9K ﹤0.01%
148
– –
SPH icon
1107
Suburban Propane Partners
SPH
$1.18B
$9K ﹤0.01%
425
– –
STWD icon
1108
Starwood Property Trust
STWD
$6.09B
$9K ﹤0.01%
383
– –
TWLO icon
1109
Twilio
TWLO
$38.2B
$9K ﹤0.01%
100
-100
-50% -$10.2K
WSBC icon
1110
WesBanco
WSBC
$3.98B
$9K ﹤0.01%
251
– –
FFHG
1111
DELISTED
Formula Folios Hedged Growth ETF
FFHG
$9K ﹤0.01%
321
– –
MGU
1112
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$9K ﹤0.01%
366
– –
FLOW
1113
DELISTED
SPX FLOW, Inc.
FLOW
$9K ﹤0.01%
200
– –
GWPH
1114
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
$9K ﹤0.01%
89
– –
S
1115
DELISTED
Sprint Corporation
S
$9K ﹤0.01%
1,776
– –
CIZ
1116
DELISTED
VictoryShares Developed Enhanced Volatility Wtd ETF
CIZ
$9K ﹤0.01%
279
– –
AZPN
1117
DELISTED
ASPEN TECHNOLOGY INC
AZPN
$9K ﹤0.01%
76
+1
+1% +$118
A icon
1118
Agilent Technologies
A
$41.9B
$8K ﹤0.01%
100
-23
-19% -$1.81K
AMN icon
1119
AMN Healthcare
AMN
$1.42B
$8K ﹤0.01%
132
– –
BGY icon
1120
BlackRock Enhanced International Dividend Trust
BGY
$531M
$8K ﹤0.01%
1,407
– –
BMO icon
1121
Bank of Montreal
BMO
$128B
$8K ﹤0.01%
+105
New +$7.9K
BR icon
1122
Broadridge
BR
$19.6B
$8K ﹤0.01%
71
– –
DBEU icon
1123
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
$798M
$8K ﹤0.01%
286
– –
DLB icon
1124
Dolby
DLB
$5.81B
$8K ﹤0.01%
124
– –
EXLS icon
1125
EXL Service
EXLS
$5.35B
$8K ﹤0.01%
600
-240
-29% -$3.28K
43 44
45
46 47

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Carroll Financial Associates's Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

By sector, the portfolio is most concentrated in Financials at 6.8% of assets, down from 6.9% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.