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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
GGN
1226
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$819M
$4K ﹤0.01%
1,144
– –
H icon
1227
Hyatt Hotels
H
$16.7B
$4K ﹤0.01%
61
– –
HAL icon
1228
Halliburton
HAL
$26.6B
$4K ﹤0.01%
263
-175
-40% -$3.62K
HOUS
1229
DELISTED
Anywhere Real Estate
HOUS
$4K ﹤0.01%
684
– –
HTLD icon
1230
Heartland Express
HTLD
$956M
$4K ﹤0.01%
212
– –
IDU icon
1231
iShares US Utilities ETF
IDU
$1.36B
$4K ﹤0.01%
50
– –
JBHT icon
1232
JB Hunt Transport Services
JBHT
$25.2B
$4K ﹤0.01%
43
– –
KW
1233
DELISTED
Kennedy-Wilson Holdings
KW
$4K ﹤0.01%
212
– –
LBTYA icon
1234
Liberty Global Class A
LBTYA
$3.6B
$4K ﹤0.01%
176
– –
LFUS icon
1235
Littelfuse
LFUS
$11.6B
$4K ﹤0.01%
23
– –
LVS icon
1236
Las Vegas Sands
LVS
$29.6B
$4K ﹤0.01%
85
-11
-11% -$641
MAN icon
1237
ManpowerGroup
MAN
$2.63B
$4K ﹤0.01%
50
– –
MHK icon
1238
Mohawk Industries
MHK
$9.22B
$4K ﹤0.01%
33
-18
-35% -$2.31K
PAG icon
1239
Penske Automotive Group
PAG
$14.2B
$4K ﹤0.01%
97
-1
-1% -$45
PDBC icon
1240
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
$6.42B
$4K ﹤0.01%
317
– –
PMO
1241
Franklin Municipal Opportunities Trust
PMO
$285M
$4K ﹤0.01%
333
– –
REZI icon
1242
Resideo Technologies
REZI
$3.95B
$4K ﹤0.01%
288
+48
+20% +$805
RYN icon
1243
Rayonier
RYN
$6.55B
$4K ﹤0.01%
192
– –
SUPN icon
1244
Supernus Pharmaceuticals
SUPN
$2.77B
$4K ﹤0.01%
150
– –
TTC icon
1245
Toro Company
TTC
$9.49B
$4K ﹤0.01%
60
– –
VAC icon
1246
Marriott Vacations Worldwide
VAC
$4.25B
$4K ﹤0.01%
44
-3
-6% -$295
XRX icon
1247
Xerox
XRX
$425M
$4K ﹤0.01%
150
-14
-9% -$439
RCM
1248
DELISTED
R1 RCM Inc. Common Stock
RCM
$4K ﹤0.01%
450
– –
SRCL
1249
DELISTED
Stericycle Inc
SRCL
$4K ﹤0.01%
86
– –
SWN
1250
DELISTED
Southwestern Energy Company
SWN
$4K ﹤0.01%
2,375
– –
48 49
50
51 52

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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.