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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
(+9.9%)
Cap. Flow
+$39.5M
Cap. Flow
% of AUM
3.14%
Top 10 Holdings %
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Global X Adaptive US Factor ETF
AUSF
|
+$21.1M |
| 2 |
Vanguard Short-Term Corporate Bond ETF
VCSH
|
+$17.9M |
| 3 |
WisdomTree US MidCap Fund
EZM
|
+$5.8M |
| 4 |
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
|
+$5.05M |
| 5 |
PGIM Ultra Short Bond ETF
PULS
|
+$3.4M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares 3-7 Year Treasury Bond ETF
IEI
|
+$11.3M |
| 2 |
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
|
+$6.74M |
| 3 |
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
|
+$3.09M |
| 4 |
iShares MSCI USA Min Vol Factor ETF
USMV
|
+$2.9M |
| 5 |
Invesco S&P SmallCap 600 Revenue ETF
RWJ
|
+$2.2M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Financials | 6.77% |
| 2 | Technology | 6.26% |
| 3 | Healthcare | 2.89% |
| 4 | Consumer Staples | 2.13% |
| 5 | Energy | 2.03% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
101
Alphabet (Google) Class A
GOOGL
$4.33T
| $1.69M | 0.13% |
25,180
-2,900
| -10% | -$187K |
|
102
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
| $1.68M | 0.13% |
15,222
+13,958
| +1,104% | +$1.56M |
|
103
Nucor
NUE
$62.1B
| $1.64M | 0.13% |
29,150
-455
| -2% | -$24.8K |
|
104
iShares Core MSCI EAFE ETF
IEFA
$196B
| $1.63M | 0.13% |
25,059
-810
| -3% | -$51.4K |
|
105
IBM
IBM
$224B
| $1.59M | 0.13% |
12,402
+893
| +8% | +$116K |
|
|
106
Alphabet (Google) Class C
GOOG
$4.32T
| $1.59M | 0.13% |
23,760
+260
| +1% | +$16.8K |
|
107
3M
MMM
$94.3B
| $1.57M | 0.12% |
10,636
-449
| -4% | -$62.9K |
|
|
SCIU
108
DELISTED
Global X Scientific Beta US ETF
SCIU
| $1.55M | 0.12% |
44,069
-3,108
| -7% | -$106K |
|
109
iShares Core S&P US Growth ETF
IUSG
$33.7B
| $1.53M | 0.12% |
22,579
+2
| +0% | +$130 |
|
110
Walmart Inc
WMT
$890B
| $1.52M | 0.12% |
38,286
+705
| +2% | +$28K |
|
111
NextEra Energy
NEE
$177B
| $1.43M | 0.11% |
23,572
-1,264
| -5% | -$73.8K |
|
112
Abbott
ABT
$187B
| $1.42M | 0.11% |
16,339
-368
| -2% | -$30.8K |
|
113
John Hancock Multifactor Large Cap ETF
JHML
$1.2B
| $1.41M | 0.11% |
34,314
+130
| +0.4% | +$5.17K |
|
114
Applied Materials
AMAT
$428B
| $1.41M | 0.11% |
23,084
-1,236
| -5% | -$69.5K |
|
115
Schwab US Dividend Equity ETF
SCHD
$105B
| $1.36M | 0.11% |
70,506
-459
| -0.6% | -$8.6K |
|
116
Invesco QQQ Trust
QQQ
$484B
| $1.33M | 0.11% |
6,243
+305
| +5% | +$61.1K |
|
117
Vanguard US Multifactor ETF
VFMF
$733M
| $1.31M | 0.1% |
16,140
+3,359
| +26% | +$263K |
|
118
Atlantic Union Bankshares
AUB
$5.97B
| $1.28M | 0.1% |
34,041
| – | – |
|
119
Visa
V
$677B
| $1.27M | 0.1% |
6,758
+806
| +14% | +$145K |
|
|
LRFC
120
DELISTED
Logan Ridge Finance Corp
LRFC
| $1.23M | 0.1% |
23,491
| – | – |
|
121
Altria Group
MO
$114B
| $1.23M | 0.1% |
24,594
-107
| -0.4% | -$5.05K |
|
122
Bristol-Myers Squibb
BMY
$132B
| $1.2M | 0.1% |
18,759
+1,146
| +7% | +$65.6K |
|
|
UN
123
DELISTED
Unilever NV New York Registry Shares
UN
| $1.19M | 0.09% |
20,748
+41
| +0.2% | +$2.42K |
|
124
DuPont de Nemours
DD
$19.2B
| $1.19M | 0.09% |
14,760
-2,725
| -16% | -$226K |
|
125
Dow Inc
DOW
$21.2B
| $1.15M | 0.09% |
21,077
-2,050
| -9% | -$106K |
|
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Carroll Financial Associates's Q4 2019 Portfolio in Review
As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.
Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
By sector, the portfolio is most concentrated in Financials at 6.8% of assets, down from 6.9% a quarter earlier, followed by Technology and Healthcare.
On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.
- Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
- Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
- Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
- Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
- Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
- Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
- Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.
Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.