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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GDX icon
1151
VanEck Gold Miners ETF
GDX
$27.4B
$3K ﹤0.01%
215
– –
HOG icon
1152
Harley-Davidson
HOG
$2.71B
$3K ﹤0.01%
83
– –
IDU icon
1153
iShares US Utilities ETF
IDU
$1.36B
$3K ﹤0.01%
50
– –
IPG
1154
DELISTED
Interpublic Group of Companies
IPG
$3K ﹤0.01%
169
-79
-32% -$1.79K
IWN icon
1155
iShares Russell 2000 Value ETF
IWN
$14.6B
$3K ﹤0.01%
25
– –
IXP icon
1156
iShares Global Comm Services ETF
IXP
$572M
$3K ﹤0.01%
65
– –
JRI icon
1157
Nuveen Real Asset Income & Growth Fund
JRI
$352M
$3K ﹤0.01%
224
– –
OPLN
1158
Openlane
OPLN
$4.54B
$3K ﹤0.01%
137
+55
+67% +$1.27K
KW
1159
DELISTED
Kennedy-Wilson Holdings
KW
$3K ﹤0.01%
+146
New +$3.13K
MFC icon
1160
Manulife Financial
MFC
$73.5B
$3K ﹤0.01%
196
– –
MSCI icon
1161
MSCI
MSCI
$40.9B
$3K ﹤0.01%
20
+6
+43% +$1.04K
NOK icon
1162
Nokia
NOK
$52.3B
$3K ﹤0.01%
547
+400
+272% +$2.22K
PH icon
1163
Parker-Hannifin
PH
$135B
$3K ﹤0.01%
21
– –
PJP icon
1164
Invesco Pharmaceuticals ETF
PJP
$498M
$3K ﹤0.01%
50
– –
PMO
1165
Franklin Municipal Opportunities Trust
PMO
$285M
$3K ﹤0.01%
333
– –
PNR icon
1166
Pentair
PNR
$11B
$3K ﹤0.01%
83
– –
PPT
1167
Franklin Premier Income Trust
PPT
$328M
$3K ﹤0.01%
750
– –
QQEW icon
1168
First Trust Nasdaq-100 Select Equal Weight ETF
QQEW
$1.82B
$3K ﹤0.01%
50
– –
SBS icon
1169
Sabesp
SBS
$18.7B
$3K ﹤0.01%
3,429
– –
SVXY icon
1170
ProShares Short VIX Short-Term Futures ETF
SVXY
$230M
$3K ﹤0.01%
130
– –
TRGP icon
1171
Targa Resources
TRGP
$55.1B
$3K ﹤0.01%
68
– –
BIG
1172
DELISTED
Big Lots, Inc.
BIG
$3K ﹤0.01%
79
– –
VMW
1173
DELISTED
VMware, Inc
VMW
$3K ﹤0.01%
24
+14
+140% +$2.14K
MBII
1174
DELISTED
Marrone Bio Innovations, Inc.
MBII
$3K ﹤0.01%
2,000
– –
SINA
1175
DELISTED
Sina Corp
SINA
$3K ﹤0.01%
46
– –
45 46
47
48 49

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6M
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RFA
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CCT
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RM
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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.