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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
-12.12%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$899M
AUM Growth
-$46.6M
Cap. Flow
+$64.5M
Cap. Flow %
7.17%
Top 10 Hldgs %
51.54%
Holding
1,465
New
87
Increased
269
Reduced
314
Closed
79

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$95.8M
2
ARKK icon
ARK Innovation ETF
ARKK
+$3.83M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.05M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$2.76M
5
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$2.26M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$26.6M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.04M
3
RTX icon
RTX Corp
RTX
+$4.17M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.03M
5
RNRG icon
Global X Renewable Energy Producers ETF
RNRG
+$3.43M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Technology 5.12%
3 Healthcare 3.27%
4 Energy 2.86%
5 Consumer Staples 2.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JQC icon
1176
Nuveen Credit Strategies Income Fund
JQC
$711M
$2K ﹤0.01%
352
– –
OPLN
1177
Openlane
OPLN
$4.54B
$2K ﹤0.01%
137
– –
CPTL
1178
Global X Funds Global X Morningstar Capital Allocation Leaders ETF
CPTL
$120M
$2K ﹤0.01%
117
– –
MFC icon
1179
Manulife Financial
MFC
$73.5B
$2K ﹤0.01%
196
– –
MHK icon
1180
Mohawk Industries
MHK
$9.22B
$2K ﹤0.01%
18
-9
-33% -$1.2K
MSCI icon
1181
MSCI
MSCI
$40.9B
$2K ﹤0.01%
20
– –
OLN icon
1182
Olin
OLN
$2.12B
$2K ﹤0.01%
108
+1
+0.9% +$21
PCG icon
1183
PG&E
PCG
$38.5B
$2K ﹤0.01%
122
-206
-63% -$7.37K
PFGC icon
1184
Performance Food Group
PFGC
$18B
$2K ﹤0.01%
85
– –
PHI icon
1185
PLDT
PHI
$4.33B
$2K ﹤0.01%
102
+2
+2% +$47
QQEW icon
1186
First Trust Nasdaq-100 Select Equal Weight ETF
QQEW
$1.82B
$2K ﹤0.01%
50
– –
SVXY icon
1187
ProShares Short VIX Short-Term Futures ETF
SVXY
$230M
$2K ﹤0.01%
130
– –
TRGP icon
1188
Targa Resources
TRGP
$55.1B
$2K ﹤0.01%
68
– –
TRI icon
1189
Thomson Reuters
TRI
$44.1B
$2K ﹤0.01%
42
-55
-57% -$2.95K
VYX icon
1190
NCR Voyix
VYX
$1.14B
$2K ﹤0.01%
142
– –
CMBT
1191
CMB.TECH NV
CMBT
$4.73B
$2K ﹤0.01%
315
– –
ATSG
1192
DELISTED
Air Transport Services Group
ATSG
$2K ﹤0.01%
100
– –
CEM
1193
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$2K ﹤0.01%
37
– –
ACER
1194
DELISTED
Acer Therapeutics Inc
ACER
$2K ﹤0.01%
+120
New +$2.76K
COR
1195
DELISTED
Coresite Realty Corporation
COR
$2K ﹤0.01%
31
-58
-65% -$5.63K
NAV
1196
DELISTED
Navistar International
NAV
$2K ﹤0.01%
75
– –
SINA
1197
DELISTED
Sina Corp
SINA
$2K ﹤0.01%
46
– –
MNK
1198
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$2K ﹤0.01%
126
– –
BGG
1199
DELISTED
Briggs & Stratton Corp.
BGG
$2K ﹤0.01%
181
– –
CHK
1200
DELISTED
Chesapeake Energy Corporation
CHK
$2K ﹤0.01%
5
– –
46 47
48
49 50

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Carroll Financial Associates's Q4 2018 Portfolio in Review

As of Q4 2018, Carroll Financial Associates held 1,465 positions worth $899M, down 4.9% from $945M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Carroll Financial Associates deployed $64.5M of net new capital in Q4 2018, opening 87 new positions and adding to 269 existing holdings. Its largest new stake was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, down from 8% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $26.6M trimmed.

  • Carroll Financial Associates's largest Q4 2018 buy was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.
  • Carroll Financial Associates added most to ARK Innovation ETF in Q4 2018, an estimated $3.83M increase.
  • Carroll Financial Associates's biggest Q4 2018 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $26.6M.
  • Carroll Financial Associates fully exited Aetna Inc in Q4 2018, selling an estimated $1.34M.
  • Carroll Financial Associates's ten largest holdings make up 52% of its $899M portfolio in Q4 2018.
  • Carroll Financial Associates opened 87 new positions and closed 79 in Q4 2018.
  • Carroll Financial Associates's portfolio value fell 4.9% quarter-over-quarter to $899M.

Based on Carroll Financial Associates's 13F filing for Q4 2018, filed 11 Jan 2019.