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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
PSNL icon
1201
Personalis
PSNL
$1.5B
$7K ﹤0.01%
200
-100
-33% -$3.02K
RWK icon
1202
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.35B
$7K ﹤0.01%
100
– –
RWX icon
1203
State Street SPDR Dow Jones International Real Estate ETF
RWX
$267M
$7K ﹤0.01%
227
-62
-21% -$1.97K
SABA
1204
Saba Capital Income & Opportunities Fund II
SABA
$222M
$7K ﹤0.01%
715
– –
SDOG icon
1205
ALPS Sector Dividend Dogs ETF
SDOG
$1.44B
$7K ﹤0.01%
163
+1
+0.6% +$42
SJNK icon
1206
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.79B
$7K ﹤0.01%
262
– –
TRIP icon
1207
TripAdvisor
TRIP
$1.28B
$7K ﹤0.01%
250
– –
TSI
1208
TCW Strategic Income Fund
TSI
$213M
$7K ﹤0.01%
1,250
– –
WSBC icon
1209
WesBanco
WSBC
$4.05B
$7K ﹤0.01%
251
– –
TWOU
1210
DELISTED
2U Inc
TWOU
$7K ﹤0.01%
6
-1
-14% -$1.07K
MGU
1211
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$7K ﹤0.01%
366
– –
CAJ
1212
DELISTED
Canon, Inc.
CAJ
$7K ﹤0.01%
400
– –
TVTY
1213
DELISTED
Tivity Health, Inc. Common Stock
TVTY
$7K ﹤0.01%
+375
New +$6.22K
IRR
1214
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$7K ﹤0.01%
3,000
– –
BGS icon
1215
B&G Foods
BGS
$277M
$6K ﹤0.01%
248
– –
BOH icon
1216
Bank of Hawaii
BOH
$3.13B
$6K ﹤0.01%
79
– –
BWXT icon
1217
BWX Technologies
BWXT
$15.5B
$6K ﹤0.01%
105
+1
+1% +$58
CHX
1218
DELISTED
ChampionX
CHX
$6K ﹤0.01%
403
– –
DORM icon
1219
Dorman Products
DORM
$3.95B
$6K ﹤0.01%
70
– –
DRI icon
1220
Darden Restaurants
DRI
$24.9B
$6K ﹤0.01%
55
-45
-45% -$4.82K
EIS icon
1221
iShares MSCI Israel ETF
EIS
$886M
$6K ﹤0.01%
100
– –
EMLC icon
1222
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.78B
$6K ﹤0.01%
195
-127
-39% -$4.06K
EQH icon
1223
Equitable Holdings
EQH
$14B
$6K ﹤0.01%
244
– –
EXI icon
1224
iShares Global Industrials ETF
EXI
$1.48B
$6K ﹤0.01%
65
– –
KBE icon
1225
State Street SPDR S&P Bank ETF
KBE
$1.73B
$6K ﹤0.01%
+163
New +$6.04K
47 48
49
50 51

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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.