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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBIS
1176
Nebius Group N.V.
NBIS
$49.1B
$8K ﹤0.01%
121
-120
-50% -$7.66K
LTHM
1177
DELISTED
Livent Corporation
LTHM
$8K ﹤0.01%
430
– –
MGP
1178
DELISTED
MGM Growth Properties LLC Class A common shares representing limited liability company interests
MGP
$8K ﹤0.01%
259
– –
MYF
1179
DELISTED
Blackrock Muni Yield Investment Fund, Inc.
MYF
$8K ﹤0.01%
600
– –
AEIS icon
1180
Advanced Energy
AEIS
$13.1B
$7K ﹤0.01%
82
– –
ARWR icon
1181
Arrowhead Research
ARWR
$12.6B
$7K ﹤0.01%
102
– –
BKT icon
1182
BlackRock Income Trust
BKT
$340M
$7K ﹤0.01%
426
– –
BXP icon
1183
Boston Properties
BXP
$10.8B
$7K ﹤0.01%
78
– –
COTY icon
1184
Coty
COTY
$2.48B
$7K ﹤0.01%
1,000
– –
EHC icon
1185
Encompass Health
EHC
$12.4B
$7K ﹤0.01%
118
– –
EZU icon
1186
iShare MSCI Eurozone ETF
EZU
$9.91B
$7K ﹤0.01%
177
– –
FAX
1187
abrdn Asia-Pacific Income Fund
FAX
$604M
$7K ﹤0.01%
289
– –
FPE icon
1188
First Trust Preferred Securities and Income ETF
FPE
$6.32B
$7K ﹤0.01%
395
+272
+221% +$5.37K
FTSM icon
1189
First Trust Enhanced Short Maturity ETF
FTSM
$6.54B
$7K ﹤0.01%
126
– –
FXN icon
1190
First Trust Energy AlphaDEX Fund
FXN
$390M
$7K ﹤0.01%
900
– –
IBDQ
1191
DELISTED
iShares iBonds Dec 2025 Term Corporate ETF
IBDQ
$7K ﹤0.01%
+259
New +$7.04K
IBDT icon
1192
iShares iBonds Dec 2028 Term Corporate ETF
IBDT
$4.07B
$7K ﹤0.01%
+240
New +$7.02K
KIDS icon
1193
OrthoPediatrics
KIDS
$633M
$7K ﹤0.01%
177
-3
-2% -$138
KRE icon
1194
State Street SPDR S&P Regional Banking ETF
KRE
$4.61B
$7K ﹤0.01%
151
-300
-67% -$13.7K
LDOS icon
1195
Leidos
LDOS
$17.7B
$7K ﹤0.01%
68
+43
+172% +$4.12K
LEA icon
1196
Lear
LEA
$8.12B
$7K ﹤0.01%
45
– –
MSCI icon
1197
MSCI
MSCI
$40.8B
$7K ﹤0.01%
16
– –
MYD
1198
DELISTED
BlackRock MuniYield Fund
MYD
$7K ﹤0.01%
512
– –
OZK icon
1199
Bank OZK
OZK
$5.66B
$7K ﹤0.01%
236
+1
+0.4% +$27
PRAA icon
1200
PRA Group
PRAA
$706M
$7K ﹤0.01%
191
-3
-2% -$119
46 47
48
49 50

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.