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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
XLG icon
1151
Invesco S&P 500 Top 50 ETF
XLG
$11B
$8K ﹤0.01%
360
+20
+6% +$445
QVCGA
1152
DELISTED
QVC Group Inc Series A
QVCGA
$8K ﹤0.01%
22
+10
+83% +$4.5K
WRK
1153
DELISTED
WestRock Company
WRK
$8K ﹤0.01%
202
– –
BBBY
1154
DELISTED
Bed Bath & Beyond Inc
BBBY
$8K ﹤0.01%
500
– –
CTXS
1155
DELISTED
Citrix Systems Inc
CTXS
$8K ﹤0.01%
74
– –
MGP
1156
DELISTED
MGM Growth Properties LLC Class A common shares representing limited liability company interests
MGP
$8K ﹤0.01%
259
– –
MYF
1157
DELISTED
Blackrock Muni Yield Investment Fund, Inc.
MYF
$8K ﹤0.01%
600
– –
ASH icon
1158
Ashland
ASH
$3.48B
$7K ﹤0.01%
97
– –
BBN icon
1159
BlackRock Taxable Municipal Bond Trust
BBN
$985M
$7K ﹤0.01%
300
– –
BKT icon
1160
BlackRock Income Trust
BKT
$341M
$7K ﹤0.01%
426
– –
BOH icon
1161
Bank of Hawaii
BOH
$3.11B
$7K ﹤0.01%
79
– –
FAX
1162
abrdn Asia-Pacific Income Fund
FAX
$599M
$7K ﹤0.01%
289
– –
FTSM icon
1163
First Trust Enhanced Short Maturity ETF
FTSM
$6.54B
$7K ﹤0.01%
126
– –
GGG icon
1164
Graco
GGG
$13.5B
$7K ﹤0.01%
146
– –
HACK icon
1165
Amplify Cybersecurity ETF
HACK
$3.02B
$7K ﹤0.01%
181
– –
HHH icon
1166
Howard Hughes
HHH
$3.94B
$7K ﹤0.01%
62
– –
HIG icon
1167
Hartford Financial Services
HIG
$39.2B
$7K ﹤0.01%
120
– –
ICF icon
1168
iShares Select U.S. REIT ETF
ICF
$2.08B
$7K ﹤0.01%
126
+12
+11% +$706
IDEV icon
1169
iShares Core MSCI International Developed Markets ETF
IDEV
$32.5B
$7K ﹤0.01%
128
+107
+510% +$6.06K
IMMR icon
1170
Immersion
IMMR
$254M
$7K ﹤0.01%
1,000
– –
INSP icon
1171
Inspire Medical Systems
INSP
$1.76B
$7K ﹤0.01%
100
– –
IXC icon
1172
iShares Global Energy ETF
IXC
$2.69B
$7K ﹤0.01%
250
– –
MYD
1173
DELISTED
BlackRock MuniYield Fund
MYD
$7K ﹤0.01%
512
– –
NTES icon
1174
NetEase
NTES
$84.7B
$7K ﹤0.01%
120
-125
-51% -$7.33K
OFS icon
1175
OFS Capital
OFS
$49.6M
$7K ﹤0.01%
700
– –
45 46
47
48 49

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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.