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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RWX icon
1101
State Street SPDR Dow Jones International Real Estate ETF
RWX
$267M
$8K ﹤0.01%
289
-63
-18% -$1.88K
SCHC icon
1102
Schwab International Small-Cap Equity ETF
SCHC
$5.65B
$8K ﹤0.01%
252
+240
+2,000% +$7.67K
SCZ icon
1103
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.5B
$8K ﹤0.01%
148
-65
-31% -$3.73K
SMFG icon
1104
Sumitomo Mitsui Financial
SMFG
$160B
$8K ﹤0.01%
1,588
– –
SPB icon
1105
Spectrum Brands
SPB
$2.02B
$8K ﹤0.01%
144
-173
-55% -$9.49K
SPH icon
1106
Suburban Propane Partners
SPH
$1.17B
$8K ﹤0.01%
535
– –
SPR
1107
DELISTED
Spirit AeroSystems
SPR
$8K ﹤0.01%
442
+175
+66% +$3.69K
SYF icon
1108
Synchrony
SYF
$25.5B
$8K ﹤0.01%
333
– –
URBN icon
1109
Urban Outfitters
URBN
$6.8B
$8K ﹤0.01%
400
– –
LSXMA
1110
DELISTED
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
$8K ﹤0.01%
369
– –
HEP
1111
DELISTED
Holly Energy Partners, L.P.
HEP
$8K ﹤0.01%
721
– –
WWE
1112
DELISTED
World Wrestling Entertainment
WWE
$8K ﹤0.01%
200
– –
FLOW
1113
DELISTED
SPX FLOW, Inc.
FLOW
$8K ﹤0.01%
200
– –
MYF
1114
DELISTED
Blackrock Muni Yield Investment Fund, Inc.
MYF
$8K ﹤0.01%
600
– –
AL
1115
DELISTED
Air Lease Corp
AL
$7K ﹤0.01%
264
– –
BBN icon
1116
BlackRock Taxable Municipal Bond Trust
BBN
$985M
$7K ﹤0.01%
300
– –
BBVA icon
1117
Banco Bilbao Vizcaya Argentaria
BBVA
$157B
$7K ﹤0.01%
2,881
– –
BKT icon
1118
BlackRock Income Trust
BKT
$340M
$7K ﹤0.01%
426
– –
FTSM icon
1119
First Trust Enhanced Short Maturity ETF
FTSM
$6.54B
$7K ﹤0.01%
126
– –
IBN icon
1120
ICICI Bank
IBN
$107B
$7K ﹤0.01%
800
– –
IMMR icon
1121
Immersion
IMMR
$248M
$7K ﹤0.01%
1,000
– –
IYJ icon
1122
iShares US Industrials ETF
IYJ
$1.95B
$7K ﹤0.01%
90
– –
KB icon
1123
KB Financial Group
KB
$41.3B
$7K ﹤0.01%
241
+14
+6% +$434
MRVL icon
1124
Marvell Technology
MRVL
$191B
$7K ﹤0.01%
184
– –
PEY icon
1125
Invesco High Yield Equity Dividend Achievers ETF
PEY
$1.16B
$7K ﹤0.01%
530
– –
43 44
45
46 47

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CCT
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Carroll Financial Associates's Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.