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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
FEX icon
1126
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.61B
$8K ﹤0.01%
130
– –
FFIN icon
1127
First Financial Bankshares
FFIN
$4.94B
$8K ﹤0.01%
246
– –
FREL icon
1128
Fidelity MSCI Real Estate Index ETF
FREL
$1.46B
$8K ﹤0.01%
313
-390
-55% -$10.8K
HDB icon
1129
HDFC Bank
HDB
$121B
$8K ﹤0.01%
262
-42
-14% -$1.28K
ITUB icon
1130
Itaú Unibanco
ITUB
$87.5B
$8K ﹤0.01%
1,300
– –
IYY icon
1131
iShares Dow Jones US ETF
IYY
$3.07B
$8K ﹤0.01%
108
– –
LSTR icon
1132
Landstar System
LSTR
$6.16B
$8K ﹤0.01%
74
– –
MAIN icon
1133
Main Street Capital
MAIN
$5.39B
$8K ﹤0.01%
200
– –
MDIV icon
1134
First Trust Exchange-Traded Fund VI Multi-Asset Diversified Income Index Fund
MDIV
$427M
$8K ﹤0.01%
460
– –
MIDD icon
1135
Middleby
MIDD
$5.92B
$8K ﹤0.01%
74
-3
-4% -$344
MTD icon
1136
Mettler-Toledo International
MTD
$28.7B
$8K ﹤0.01%
11
-1
-8% -$722
NGG icon
1137
National Grid
NGG
$80.1B
$8K ﹤0.01%
157
– –
NOV icon
1138
NOV
NOV
$7.31B
$8K ﹤0.01%
359
+93
+35% +$2.09K
NSA
1139
DELISTED
National Storage Affiliates Trust
NSA
$8K ﹤0.01%
258
– –
PAA icon
1140
Plains All American Pipeline
PAA
$16.1B
$8K ﹤0.01%
477
– –
PCTY icon
1141
Paylocity
PCTY
$7.9B
$8K ﹤0.01%
67
– –
PNR icon
1142
Pentair
PNR
$10.9B
$8K ﹤0.01%
190
– –
RVT icon
1143
Royce Value Trust
RVT
$2.29B
$8K ﹤0.01%
544
-1
-0.2% -$14
RWX icon
1144
State Street SPDR Dow Jones International Real Estate ETF
RWX
$267M
$8K ﹤0.01%
227
– –
SVXY icon
1145
ProShares Short VIX Short-Term Futures ETF
SVXY
$231M
$8K ﹤0.01%
+260
New +$7.74K
TAC icon
1146
TransAlta
TAC
$3.91B
$8K ﹤0.01%
1,198
– –
THO icon
1147
Thor Industries
THO
$4.13B
$8K ﹤0.01%
114
– –
WCC
1148
WESCO International
WCC
$18B
$8K ﹤0.01%
150
– –
WH icon
1149
Wyndham Hotels & Resorts
WH
$5.33B
$8K ﹤0.01%
140
– –
WIX icon
1150
WIX.com
WIX
$2.52B
$8K ﹤0.01%
66
– –
44 45
46
47 48

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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.