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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
PRK icon
1201
Park National Corp
PRK
$3.67B
$2K ﹤0.01%
+19
New +$2.09K
RL icon
1202
Ralph Lauren
RL
$23.6B
$2K ﹤0.01%
18
– –
THC icon
1203
Tenet Healthcare
THC
$21.1B
$2K ﹤0.01%
101
– –
TK icon
1204
Teekay
TK
$985M
$2K ﹤0.01%
300
– –
UHAL icon
1205
U-Haul Holding Co
UHAL
$14.6B
$2K ﹤0.01%
60
– –
VYX icon
1206
NCR Voyix
VYX
$1.14B
$2K ﹤0.01%
142
– –
WYNN icon
1207
Wynn Resorts
WYNN
$10.6B
$2K ﹤0.01%
18
– –
XLG icon
1208
Invesco S&P 500 Top 50 ETF
XLG
$11B
$2K ﹤0.01%
140
– –
CMBT
1209
CMB.TECH NV
CMBT
$4.73B
$2K ﹤0.01%
315
– –
ATSG
1210
DELISTED
Air Transport Services Group
ATSG
$2K ﹤0.01%
100
– –
HYB
1211
DELISTED
New America High Income Fund, Inc.
HYB
$2K ﹤0.01%
240
– –
CEM
1212
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$2K ﹤0.01%
37
– –
BKCC
1213
DELISTED
BlackRock Capital Investment Corporation
BKCC
$2K ﹤0.01%
400
– –
NOVN
1214
DELISTED
Novan, Inc. Common Stock
NOVN
$2K ﹤0.01%
100
– –
CS
1215
DELISTED
Credit Suisse Group
CS
$2K ﹤0.01%
169
– –
NUAN
1216
DELISTED
Nuance Communications, Inc.
NUAN
$2K ﹤0.01%
155
– –
NAV
1217
DELISTED
Navistar International
NAV
$2K ﹤0.01%
75
– –
RP
1218
DELISTED
RealPage, Inc.
RP
$2K ﹤0.01%
+45
New +$2.68K
WPG
1219
DELISTED
Washington Prime Group Inc.
WPG
$2K ﹤0.01%
34
+28
+467% +$1.94K
ACCO icon
1220
Acco Brands
ACCO
$407M
$1K ﹤0.01%
159
– –
AER icon
1221
AerCap
AER
$23.8B
$1K ﹤0.01%
22
– –
AIT icon
1222
Applied Industrial Technologies
AIT
$13.3B
$1K ﹤0.01%
+24
New +$1.82K
ARW icon
1223
Arrow Electronics
ARW
$10.4B
$1K ﹤0.01%
15
– –
AVT icon
1224
Avnet
AVT
$7.92B
$1K ﹤0.01%
30
– –
BOE icon
1225
BlackRock Enhanced Global Dividend Trust
BOE
$684M
$1K ﹤0.01%
149
– –
47 48
49
50 51

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NFG
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6M
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RFA
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CCT
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C
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CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
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.