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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
-0.55%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.79B
AUM Growth
+$22.2M
Cap. Flow
+$37.5M
Cap. Flow %
2.1%
Top 10 Hldgs %
43.07%
Holding
2,036
New
245
Increased
533
Reduced
393
Closed
104

Top Buys

Rank Stock Value
1
ARMR
Armor US Equity Index ETF
ARMR
+$16.3M
2
SPD icon
Simplify US Equity PLUS Downside Convexity ETF
SPD
+$9.62M
3
VFMF icon
Vanguard US Multifactor ETF
VFMF
+$4.73M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.93M
5
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$3.78M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.86M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.21M
3
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$2.99M
4
ADER
26 Capital Acquisition Corp
ADER
+$2.49M
5
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$1.98M

Sector Composition

Rank Sector Weight
1 Technology 6.94%
2 Financials 5.81%
3 Healthcare 2.4%
4 Consumer Discretionary 2.07%
5 Consumer Staples 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BKR icon
1201
Baker Hughes
BKR
$64B
$10K ﹤0.01%
437
+5
+1% +$111
CLB icon
1202
Core Laboratories
CLB
$567M
$10K ﹤0.01%
381
-23
-6% -$700
CLOV icon
1203
Clover Health Investments
CLOV
$2.33B
$10K ﹤0.01%
1,396
+1,069
+327% +$9.15K
CNBS icon
1204
Amplify Seymour Cannabis ETF
CNBS
$73.9M
$10K ﹤0.01%
44
– –
DLB icon
1205
Dolby
DLB
$5.78B
$10K ﹤0.01%
124
– –
EPI icon
1206
WisdomTree India Earnings Fund ETF
EPI
$2.05B
$10K ﹤0.01%
+287
New +$10.2K
FCEL icon
1207
FuelCell Energy
FCEL
$1.57B
$10K ﹤0.01%
50
– –
FXN icon
1208
First Trust Energy AlphaDEX Fund
FXN
$390M
$10K ﹤0.01%
900
– –
GDYN icon
1209
Grid Dynamics Holdings
GDYN
$643M
$10K ﹤0.01%
+365
New +$8.92K
GGG icon
1210
Graco
GGG
$13.6B
$10K ﹤0.01%
147
– –
GVIP icon
1211
Goldman Sachs Hedge Industry VIP ETF
GVIP
$575M
$10K ﹤0.01%
108
-1,991
-95% -$203K
HDB icon
1212
HDFC Bank
HDB
$121B
$10K ﹤0.01%
274
+12
+5% +$445
HYD icon
1213
VanEck High Yield Muni ETF
HYD
$4.4B
$10K ﹤0.01%
165
– –
KRE icon
1214
State Street SPDR S&P Regional Banking ETF
KRE
$4.6B
$10K ﹤0.01%
151
– –
LII icon
1215
Lennox International
LII
$14.9B
$10K ﹤0.01%
35
-35
-50% -$11.4K
LRCX icon
1216
Lam Research
LRCX
$389B
$10K ﹤0.01%
180
-1,370
-88% -$83.3K
MIDD icon
1217
Middleby
MIDD
$5.59B
$10K ﹤0.01%
62
– –
MLN icon
1218
VanEck Long Muni ETF
MLN
$682M
$10K ﹤0.01%
500
– –
ORI icon
1219
Old Republic International
ORI
$10.3B
$10K ﹤0.01%
461
+5
+1% +$124
OZK icon
1220
Bank OZK
OZK
$5.65B
$10K ﹤0.01%
237
+1
+0.4% +$42
PEY icon
1221
Invesco High Yield Equity Dividend Achievers ETF
PEY
$1.16B
$10K ﹤0.01%
530
– –
PHG icon
1222
Philips
PHG
$26.5B
$10K ﹤0.01%
276
-56
-17% -$2.13K
PZA icon
1223
Invesco National AMT-Free Municipal Bond ETF
PZA
$4.26B
$10K ﹤0.01%
400
– –
ROKU icon
1224
Roku
ROKU
$22.4B
$10K ﹤0.01%
34
-380
-92% -$143K
RORO
1225
DELISTED
ATAC US Rotation ETF
RORO
$10K ﹤0.01%
464
-25,471
-98% -$617K
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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Carroll Financial Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Carroll Financial Associates held 2,036 positions worth $1.79B, up 1.3% from $1.77B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Carroll Financial Associates's Q3 2021 filing shows 245 new, 533 increased, 393 reduced and 104 closed positions. Its largest new stake was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $8.86M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2021 buy was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M.
  • Carroll Financial Associates added most to Armor US Equity Index ETF in Q3 2021, an estimated $16.3M increase.
  • Carroll Financial Associates's biggest Q3 2021 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.86M.
  • Carroll Financial Associates fully exited VanEck Semiconductor ETF in Q3 2021, selling an estimated $838K.
  • Carroll Financial Associates's ten largest holdings make up 43% of its $1.79B portfolio in Q3 2021.
  • Carroll Financial Associates opened 245 new positions and closed 104 in Q3 2021.
  • Carroll Financial Associates's portfolio value rose 1.3% quarter-over-quarter to $1.79B.

Based on Carroll Financial Associates's 13F filing for Q3 2021, filed 7 Oct 2021.