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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
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
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
SOLN
1226
DELISTED
The Southern Company
SOLN
$6K ﹤0.01%
+115
New +$6.09K
BSCL
1227
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
$6K ﹤0.01%
+304
New +$6.46K
RWW
1228
DELISTED
Invesco S&P Financials Revenue ETF
RWW
$6K ﹤0.01%
+93
New +$6.6K
BSCN
1229
DELISTED
Invesco BulletShares 2023 Corporate Bond ETF
BSCN
$6K ﹤0.01%
+306
New +$6.51K
BSCM
1230
DELISTED
Invesco BulletShares 2022 Corporate Bond ETF
BSCM
$6K ﹤0.01%
+302
New +$6.49K
REV
1231
DELISTED
Revlon, Inc.
REV
$6K ﹤0.01%
297
– –
AEIS icon
1232
Advanced Energy
AEIS
$13B
$5K ﹤0.01%
82
– –
CAH icon
1233
Cardinal Health
CAH
$55.4B
$5K ﹤0.01%
109
– –
CNC icon
1234
Centene
CNC
$32.5B
$5K ﹤0.01%
86
– –
DEW icon
1235
WisdomTree Global High Dividend Fund
DEW
$155M
$5K ﹤0.01%
107
– –
EIS icon
1236
iShares MSCI Israel ETF
EIS
$903M
$5K ﹤0.01%
100
– –
FFIV icon
1237
F5
FFIV
$22.7B
$5K ﹤0.01%
38
– –
IJT icon
1238
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.41B
$5K ﹤0.01%
62
– –
IVR icon
1239
Invesco Mortgage Capital
IVR
$805M
$5K ﹤0.01%
35
– –
JBHT icon
1240
JB Hunt Transport Services
JBHT
$25.2B
$5K ﹤0.01%
43
– –
KT icon
1241
KT
KT
$8.81B
$5K ﹤0.01%
442
-122
-22% -$1.39K
LVS icon
1242
Las Vegas Sands
LVS
$29.6B
$5K ﹤0.01%
85
– –
MQY icon
1243
BlackRock MuniYield Quality Fund
MQY
$817M
$5K ﹤0.01%
335
– –
MSCI icon
1244
MSCI
MSCI
$40.9B
$5K ﹤0.01%
23
– –
NCV
1245
Virtus Convertible & Income Fund
NCV
$390M
$5K ﹤0.01%
247
– –
PDBC icon
1246
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
$6.42B
$5K ﹤0.01%
317
– –
PGEN icon
1247
Precigen
PGEN
$2.59B
$5K ﹤0.01%
1,000
– –
PSP icon
1248
Invesco Global Listed Private Equity ETF
PSP
$246M
$5K ﹤0.01%
88
+3
+4% +$184
RWL icon
1249
Invesco S&P 500 Revenue ETF
RWL
$9.9B
$5K ﹤0.01%
100
– –
RYN icon
1250
Rayonier
RYN
$6.55B
$5K ﹤0.01%
192
– –
48 49
50
51 52

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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.