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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
-12.12%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$899M
AUM Growth
-$46.6M
Cap. Flow
+$64.5M
Cap. Flow %
7.17%
Top 10 Hldgs %
51.54%
Holding
1,465
New
87
Increased
269
Reduced
314
Closed
79

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$95.8M
2
ARKK icon
ARK Innovation ETF
ARKK
+$3.83M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.05M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$2.76M
5
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$2.26M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$26.6M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.04M
3
RTX icon
RTX Corp
RTX
+$4.17M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.03M
5
RNRG icon
Global X Renewable Energy Producers ETF
RNRG
+$3.43M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Technology 5.12%
3 Healthcare 3.27%
4 Energy 2.86%
5 Consumer Staples 2.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FLO icon
1226
Flowers Foods
FLO
$1.57B
$1K ﹤0.01%
95
– –
FWONA icon
1227
Liberty Media Series A
FWONA
$23.6B
$1K ﹤0.01%
45
– –
HAL icon
1228
Halliburton
HAL
$26.6B
$1K ﹤0.01%
45
-250
-85% -$8.43K
HYT icon
1229
BlackRock Corporate High Yield Fund
HYT
$1.37B
$1K ﹤0.01%
122
– –
IHF icon
1230
iShares US Healthcare Providers ETF
IHF
$1.27B
$1K ﹤0.01%
55
– –
JBLU icon
1231
JetBlue
JBLU
$2.29B
$1K ﹤0.01%
60
– –
KIM icon
1232
Kimco Realty
KIM
$16.4B
$1K ﹤0.01%
68
– –
KSS icon
1233
Kohl's
KSS
$2.19B
$1K ﹤0.01%
22
– –
LYTS icon
1234
LSI Industries
LYTS
$924M
$1K ﹤0.01%
340
– –
MDU icon
1235
MDU Resources
MDU
$4.32B
$1K ﹤0.01%
113
– –
MMT
1236
Aberdeen Multi-Market Income Fund
MMT
$243M
$1K ﹤0.01%
195
– –
MOS icon
1237
The Mosaic Company
MOS
$7.33B
$1K ﹤0.01%
53
– –
MWA icon
1238
Mueller Water Products
MWA
$4.16B
$1K ﹤0.01%
+150
New +$1.57K
NAD icon
1239
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$1K ﹤0.01%
125
-800
-86% -$10K
NMFC icon
1240
New Mountain Finance
NMFC
$732M
$1K ﹤0.01%
100
– –
NXRT
1241
NexPoint Residential Trust
NXRT
$652M
$1K ﹤0.01%
46
– –
ON icon
1242
ON Semiconductor
ON
$31.6B
$1K ﹤0.01%
74
– –
PBI icon
1243
Pitney Bowes
PBI
$2.39B
$1K ﹤0.01%
200
– –
PFN
1244
PIMCO Income Strategy Fund II
PFN
$703M
$1K ﹤0.01%
118
– –
PRK icon
1245
Park National Corp
PRK
$3.67B
$1K ﹤0.01%
19
– –
RL icon
1246
Ralph Lauren
RL
$23.6B
$1K ﹤0.01%
18
– –
SBRA icon
1247
Sabra Healthcare REIT
SBRA
$5.37B
$1K ﹤0.01%
57
-275
-83% -$5.54K
SCHX icon
1248
Schwab US Large- Cap ETF
SCHX
$74.6B
$1K ﹤0.01%
138
+42
+44% +$451
SFM icon
1249
Sprouts Farmers Market
SFM
$8.01B
$1K ﹤0.01%
46
– –
SIRI icon
1250
SiriusXM
SIRI
$10.1B
$1K ﹤0.01%
24
-200
-89% -$12.2K
48 49
50
51 52

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TU
TDAM USA Toronto, Ontario, Canada $1.61B AUM 28.05% 1-Year Est. Return
NFG
Next Financial Group Houston, Texas $1.52B AUM 20.14% 1-Year Est. Return
6M
6 Meridian Wichita, Kansas $1.37B AUM 17.3% 1-Year Est. Return
RFA
Reilly Financial Advisors La Mesa, California $1.35B AUM 22.65% 1-Year Est. Return
CCT
Country Club Trust Kansas City, Missouri $1.27B AUM 22.67% 1-Year Est. Return
C
ConocoPhillips Houston, Texas $1.12B AUM 103.31% 1-Year Est. Return
CC
Cassaday & Co Mclean, Virginia $1.06B AUM 17.6% 1-Year Est. Return
RM
Resource Management Metairie, Louisiana $970M AUM 28.05% 1-Year Est. Return

Carroll Financial Associates's Q4 2018 Portfolio in Review

As of Q4 2018, Carroll Financial Associates held 1,465 positions worth $899M, down 4.9% from $945M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Carroll Financial Associates deployed $64.5M of net new capital in Q4 2018, opening 87 new positions and adding to 269 existing holdings. Its largest new stake was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, down from 8% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $26.6M trimmed.

  • Carroll Financial Associates's largest Q4 2018 buy was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.
  • Carroll Financial Associates added most to ARK Innovation ETF in Q4 2018, an estimated $3.83M increase.
  • Carroll Financial Associates's biggest Q4 2018 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $26.6M.
  • Carroll Financial Associates fully exited Aetna Inc in Q4 2018, selling an estimated $1.34M.
  • Carroll Financial Associates's ten largest holdings make up 52% of its $899M portfolio in Q4 2018.
  • Carroll Financial Associates opened 87 new positions and closed 79 in Q4 2018.
  • Carroll Financial Associates's portfolio value fell 4.9% quarter-over-quarter to $899M.

Based on Carroll Financial Associates's 13F filing for Q4 2018, filed 11 Jan 2019.