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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MSTR icon
1226
Strategy Inc
MSTR
$37.8B
$6K ﹤0.01%
+160
New +$3.74K
NOVT icon
1227
Novanta
NOVT
$6.34B
$6K ﹤0.01%
56
– –
PIO icon
1228
Invesco Global Water ETF
PIO
$279M
$6K ﹤0.01%
200
– –
PSP icon
1229
Invesco Global Listed Private Equity ETF
PSP
$249M
$6K ﹤0.01%
93
+1
+1% +$61
RNRG icon
1230
Global X Renewable Energy Producers ETF
RNRG
$26M
$6K ﹤0.01%
117
+66
+129% +$3.21K
RWL icon
1231
Invesco S&P 500 Revenue ETF
RWL
$9.95B
$6K ﹤0.01%
100
– –
SHG icon
1232
Shinhan Financial Group
SHG
$34.3B
$6K ﹤0.01%
202
– –
SU icon
1233
Suncor Energy
SU
$74B
$6K ﹤0.01%
387
-1,199
-76% -$17.6K
TLK icon
1234
Telkom Indonesia
TLK
$14.4B
$6K ﹤0.01%
293
– –
TRMB icon
1235
Trimble
TRMB
$13.5B
$6K ﹤0.01%
103
– –
VDE icon
1236
Vanguard Energy ETF
VDE
$10.4B
$6K ﹤0.01%
121
– –
VGIT icon
1237
Vanguard Intermediate-Term Treasury ETF
VGIT
$42.4B
$6K ﹤0.01%
91
– –
VOX icon
1238
Vanguard Communication Services ETF
VOX
$5.82B
$6K ﹤0.01%
53
– –
VPL icon
1239
Vanguard FTSE Pacific ETF
VPL
$8.42B
$6K ﹤0.01%
80
– –
YETI icon
1240
Yeti Holdings
YETI
$3.85B
$6K ﹤0.01%
99
– –
BECN
1241
DELISTED
Beacon Roofing Supply, Inc.
BECN
$6K ﹤0.01%
151
– –
THCX
1242
DELISTED
AXS Cannabis ETF
THCX
$6K ﹤0.01%
+50
New +$5.54K
BSCL
1243
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
$6K ﹤0.01%
304
– –
CIZ
1244
DELISTED
VictoryShares Developed Enhanced Volatility Wtd ETF
CIZ
$6K ﹤0.01%
215
– –
BSCN
1245
DELISTED
Invesco BulletShares 2023 Corporate Bond ETF
BSCN
$6K ﹤0.01%
306
– –
ACWV icon
1246
iShares MSCI Global Min Vol Factor ETF
ACWV
$3.37B
$5K ﹤0.01%
+55
New +$5.2K
BNTX icon
1247
BioNTech
BNTX
$23.3B
$5K ﹤0.01%
62
+17
+38% +$1.67K
CHD icon
1248
Church & Dwight Co
CHD
$24.4B
$5K ﹤0.01%
64
– –
CNO icon
1249
CNO Financial Group
CNO
$5.05B
$5K ﹤0.01%
235
-4
-2% -$81
CTRA
1250
DELISTED
Coterra Energy
CTRA
$5K ﹤0.01%
342
– –
48 49
50
51 52

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.