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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
PCY icon
101
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.4B
$1.62M 0.14%
55,615
+5,361
+11% +$157K
PKW icon
102
Invesco BuyBack Achievers ETF
PKW
$1.76B
$1.6M 0.14%
25,644
-482
-2% -$30K
IBM icon
103
IBM
IBM
$224B
$1.6M 0.14%
11,509
-165
-1% -$22.3K
SCIU
104
DELISTED
Global X Scientific Beta US ETF
SCIU
$1.59M 0.14%
47,177
-984
-2% -$32.7K
IEFA icon
105
iShares Core MSCI EAFE ETF
IEFA
$196B
$1.58M 0.14%
25,869
-780
-3% -$47.1K
OUSA icon
106
ALPS O'Shares U.S. Quality Dividend ETF
OUSA
$764M
$1.57M 0.14%
45,219
-11
-0% -$378
DD icon
107
DuPont de Nemours
DD
$19.2B
$1.56M 0.14%
+17,485
New +$1.54M
SSB icon
108
SouthState Bank Corp
SSB
$10.5B
$1.55M 0.14%
20,585
-299
-1% -$22.5K
MMM icon
109
3M
MMM
$94.3B
$1.52M 0.13%
11,085
-209
-2% -$29.2K
NUE icon
110
Nucor
NUE
$62.1B
$1.51M 0.13%
29,605
-1,522
-5% -$79.5K
PRFZ icon
111
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.89B
$1.5M 0.13%
58,940
-93,575
-61% -$2.36M
WMT icon
112
Walmart Inc
WMT
$890B
$1.49M 0.13%
37,581
-5,637
-13% -$213K
AMGN icon
113
Amgen
AMGN
$222B
$1.46M 0.13%
7,524
+88
+1% +$16.9K
NEE icon
114
NextEra Energy
NEE
$177B
$1.45M 0.13%
24,836
+36
+0.1% +$1.95K
GOOG icon
115
Alphabet (Google) Class C
GOOG
$4.32T
$1.43M 0.13%
23,500
-1,040
-4% -$61.5K
IUSG icon
116
iShares Core S&P US Growth ETF
IUSG
$33.7B
$1.42M 0.12%
22,577
– –
ABT icon
117
Abbott
ABT
$187B
$1.4M 0.12%
16,707
-374
-2% -$31.8K
COP icon
118
ConocoPhillips
COP
$141B
$1.35M 0.12%
23,787
-5,078
-18% -$289K
ACWI icon
119
iShares MSCI ACWI ETF
ACWI
$33.5B
$1.35M 0.12%
18,317
+6,160
+51% +$451K
JHML icon
120
John Hancock Multifactor Large Cap ETF
JHML
$1.2B
$1.31M 0.11%
34,184
+3,136
+10% +$119K
PSX icon
121
Phillips 66
PSX
$81.4B
$1.3M 0.11%
12,717
-3,353
-21% -$336K
SCHD icon
122
Schwab US Dividend Equity ETF
SCHD
$105B
$1.29M 0.11%
70,965
+843
+1% +$15.1K
MRGR icon
123
ProShares Merger ETF
MRGR
$15.9M
$1.29M 0.11%
34,187
+1,879
+6% +$70.7K
VEU icon
124
Vanguard FTSE All-World ex-US ETF
VEU
$68.5B
$1.28M 0.11%
25,689
– –
AUB icon
125
Atlantic Union Bankshares
AUB
$5.97B
$1.27M 0.11%
34,041
– –
3 4
5
6 7

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6M
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RFA
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CCT
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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.