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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
OZK icon
1176
Bank OZK
OZK
$5.6B
$7K ﹤0.01%
234
– –
PINC
1177
DELISTED
Premier
PINC
$7K ﹤0.01%
196
– –
PRAA icon
1178
PRA Group
PRAA
$739M
$7K ﹤0.01%
194
– –
PSCF icon
1179
Invesco S&P SmallCap Financials ETF
PSCF
$27.1M
$7K ﹤0.01%
132
– –
RWK icon
1180
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.35B
$7K ﹤0.01%
123
+23
+23% +$1.43K
SDOG icon
1181
ALPS Sector Dividend Dogs ETF
SDOG
$1.43B
$7K ﹤0.01%
156
+1
+0.6% +$45
SJNK icon
1182
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.79B
$7K ﹤0.01%
+262
New +$7.02K
SPEM icon
1183
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17.7B
$7K ﹤0.01%
211
+4
+2% +$144
TD icon
1184
Toronto Dominion Bank
TD
$201B
$7K ﹤0.01%
136
– –
TNL icon
1185
Travel + Leisure Co
TNL
$4.56B
$7K ﹤0.01%
140
– –
TRIP icon
1186
TripAdvisor
TRIP
$1.25B
$7K ﹤0.01%
250
– –
TSI
1187
TCW Strategic Income Fund
TSI
$213M
$7K ﹤0.01%
+1,250
New +$7.24K
TY icon
1188
TRI-Continental Corp
TY
$1.9B
$7K ﹤0.01%
+263
New +$7.31K
EQIN
1189
Columbia U.S. Equity Income ETF
EQIN
$312M
$7K ﹤0.01%
251
– –
LSXMA
1190
DELISTED
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
$7K ﹤0.01%
220
– –
LTHM
1191
DELISTED
Livent Corporation
LTHM
$7K ﹤0.01%
893
– –
BNFT
1192
DELISTED
Benefitfocus, Inc.
BNFT
$7K ﹤0.01%
+330
New +$7.47K
ZIV
1193
DELISTED
VelocityShares Daily Inverse VIX Medium Term ETN
ZIV
$7K ﹤0.01%
99
– –
AMLP icon
1194
Alerian MLP ETF
AMLP
$13.2B
$6K ﹤0.01%
152
-80
-34% -$3.36K
CRH icon
1195
CRH
CRH
$66.6B
$6K ﹤0.01%
157
– –
EMLC icon
1196
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.79B
$6K ﹤0.01%
195
– –
ENOV icon
1197
Enovis
ENOV
$1.49B
$6K ﹤0.01%
102
– –
ETSY icon
1198
Etsy
ETSY
$7.55B
$6K ﹤0.01%
150
-392
-72% -$18.7K
EWU icon
1199
iShares MSCI United Kingdom ETF
EWU
$4.15B
$6K ﹤0.01%
185
– –
EXI icon
1200
iShares Global Industrials ETF
EXI
$1.48B
$6K ﹤0.01%
65
– –
46 47
48
49 50

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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.