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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RWK icon
1201
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.35B
$5K ﹤0.01%
100
– –
RWL icon
1202
Invesco S&P 500 Revenue ETF
RWL
$9.9B
$5K ﹤0.01%
100
– –
SHG icon
1203
Shinhan Financial Group
SHG
$35.6B
$5K ﹤0.01%
158
– –
STE icon
1204
Steris
STE
$23.1B
$5K ﹤0.01%
39
– –
TAK icon
1205
Takeda Pharmaceutical
TAK
$55.7B
$5K ﹤0.01%
321
– –
TMUS icon
1206
T-Mobile US
TMUS
$190B
$5K ﹤0.01%
67
– –
TRST
1207
Trustco Bank Corp NY
TRST
$938M
$5K ﹤0.01%
130
– –
VVV icon
1208
Valvoline
VVV
$4.51B
$5K ﹤0.01%
266
– –
W icon
1209
Wayfair
W
$14.6B
$5K ﹤0.01%
48
+38
+380% +$4.86K
WBD icon
1210
Warner Bros
WBD
$67.1B
$5K ﹤0.01%
212
– –
QVCGA
1211
DELISTED
QVC Group Inc Series A
QVCGA
$5K ﹤0.01%
12
– –
CTLT
1212
DELISTED
CATALENT, INC.
CTLT
$5K ﹤0.01%
113
– –
LTHM
1213
DELISTED
Livent Corporation
LTHM
$5K ﹤0.01%
893
– –
BBBY
1214
DELISTED
Bed Bath & Beyond Inc
BBBY
$5K ﹤0.01%
500
– –
AEIS icon
1215
Advanced Energy
AEIS
$13B
$4K ﹤0.01%
82
– –
AOR icon
1216
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.74B
$4K ﹤0.01%
93
-1,095
-92% -$50K
BGS icon
1217
B&G Foods
BGS
$286M
$4K ﹤0.01%
248
– –
CHD icon
1218
Church & Dwight Co
CHD
$24.5B
$4K ﹤0.01%
64
-44
-41% -$3.33K
CIK
1219
Credit Suisse Asset Management Income Fund
CIK
$134M
$4K ﹤0.01%
1,373
– –
DES icon
1220
WisdomTree US SmallCap Dividend Fund
DES
$2.22B
$4K ﹤0.01%
171
– –
DEW icon
1221
WisdomTree Global High Dividend Fund
DEW
$155M
$4K ﹤0.01%
107
+3
+3% +$137
ENS icon
1222
EnerSys
ENS
$6.99B
$4K ﹤0.01%
64
– –
EXPO icon
1223
Exponent
EXPO
$3.24B
$4K ﹤0.01%
60
– –
FDS icon
1224
Factset
FDS
$10.2B
$4K ﹤0.01%
18
– –
FIZZ icon
1225
National Beverage
FIZZ
$3.01B
$4K ﹤0.01%
194
– –
47 48
49
50 51

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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.