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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
ESS icon
1101
Essex Property Trust
ESS
$18.2B
$10K ﹤0.01%
42
+1
+2% +$231
EWC icon
1102
iShares MSCI Canada ETF
EWC
$6.5B
$10K ﹤0.01%
354
– –
FDIS icon
1103
Fidelity MSCI Consumer Discretionary Index ETF
FDIS
$1.73B
$10K ﹤0.01%
+150
New +$9.96K
GGG icon
1104
Graco
GGG
$13.4B
$10K ﹤0.01%
147
– –
HEZU icon
1105
iShares Currency Hedged MSCI Eurozone ETF
HEZU
$591M
$10K ﹤0.01%
345
– –
HYD icon
1106
VanEck High Yield Muni ETF
HYD
$4.4B
$10K ﹤0.01%
165
– –
HYMB icon
1107
State Street SPDR Nuveen ICE High Yield Municipal Bond ETF
HYMB
$3.36B
$10K ﹤0.01%
350
– –
IBDR icon
1108
iShares iBonds Dec 2026 Term Corporate ETF
IBDR
$3.38B
$10K ﹤0.01%
+403
New +$10.8K
IBDS icon
1109
iShares iBonds Dec 2027 Term Corporate ETF
IBDS
$3.87B
$10K ﹤0.01%
+391
New +$10.7K
ITRG
1110
Integra Resources
ITRG
$545M
$10K ﹤0.01%
+1,080
New +$9.38K
IYY icon
1111
iShares Dow Jones US ETF
IYY
$3.07B
$10K ﹤0.01%
108
– –
JKHY icon
1112
Jack Henry & Associates
JKHY
$10.8B
$10K ﹤0.01%
63
-2
-3% -$318
MGEE icon
1113
MGE Energy Inc
MGEE
$3.06B
$10K ﹤0.01%
150
– –
MLN icon
1114
VanEck Long Muni ETF
MLN
$683M
$10K ﹤0.01%
500
– –
MTD icon
1115
Mettler-Toledo International
MTD
$28.6B
$10K ﹤0.01%
9
-1
-10% -$1.1K
PGEN icon
1116
Precigen
PGEN
$2.43B
$10K ﹤0.01%
1,000
– –
PSCF icon
1117
Invesco S&P SmallCap Financials ETF
PSCF
$27.2M
$10K ﹤0.01%
217
-537
-71% -$23.8K
PUK icon
1118
Prudential
PUK
$34.4B
$10K ﹤0.01%
297
– –
PZA icon
1119
Invesco National AMT-Free Municipal Bond ETF
PZA
$4.27B
$10K ﹤0.01%
400
– –
RCL icon
1120
Royal Caribbean
RCL
$82.5B
$10K ﹤0.01%
138
-36
-21% -$2.51K
RDIV icon
1121
Invesco S&P Ultra Dividend Revenue ETF
RDIV
$1.39B
$10K ﹤0.01%
306
– –
SCZ icon
1122
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.6B
$10K ﹤0.01%
148
– –
SPXC icon
1123
SPX Corp
SPXC
$11.1B
$10K ﹤0.01%
200
– –
THO icon
1124
Thor Industries
THO
$4.17B
$10K ﹤0.01%
114
– –
TRU icon
1125
TransUnion
TRU
$15.2B
$10K ﹤0.01%
107
– –
43 44
45
46 47

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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.