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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
SLV icon
1251
iShares Silver Trust
SLV
$30.9B
$1K ﹤0.01%
100
-5,150
-98% -$70.4K
SPOT icon
1252
Spotify
SPOT
$100B
$1K ﹤0.01%
9
– –
SXC icon
1253
SunCoke Energy
SXC
$797M
$1K ﹤0.01%
141
– –
THC icon
1254
Tenet Healthcare
THC
$21.1B
$1K ﹤0.01%
101
– –
THO icon
1255
Thor Industries
THO
$4.14B
$1K ﹤0.01%
30
-28
-48% -$1.9K
TK icon
1256
Teekay
TK
$985M
$1K ﹤0.01%
300
– –
TRMK icon
1257
Trustmark
TRMK
$2.75B
$1K ﹤0.01%
45
– –
UAA icon
1258
Under Armour
UAA
$2.6B
$1K ﹤0.01%
93
– –
UAL icon
1259
United Airlines
UAL
$42.1B
$1K ﹤0.01%
17
– –
UBSI icon
1260
United Bankshares
UBSI
$6.62B
$1K ﹤0.01%
34
-171
-83% -$5.77K
VOYA icon
1261
Voya Financial
VOYA
$9.19B
$1K ﹤0.01%
25
– –
VSS icon
1262
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.9B
$1K ﹤0.01%
17
– –
WTRE icon
1263
WisdomTree New Economy Real Estate Fund
WTRE
$15.8M
$1K ﹤0.01%
36
– –
WYNN icon
1264
Wynn Resorts
WYNN
$10.6B
$1K ﹤0.01%
18
– –
ZBRA icon
1265
Zebra Technologies
ZBRA
$17.8B
$1K ﹤0.01%
11
– –
INEQ
1266
Columbia International Equity Income ETF
INEQ
$105M
$1K ﹤0.01%
70
-7,341
-99% -$193K
VIVS
1267
VivoSim Labs
VIVS
$1.64M
$1K ﹤0.01%
4
– –
SUM
1268
DELISTED
Summit Materials, Inc. Class A Common Stock
SUM
$1K ﹤0.01%
140
+65
+87% +$899
HYB
1269
DELISTED
New America High Income Fund, Inc.
HYB
$1K ﹤0.01%
240
– –
BKCC
1270
DELISTED
BlackRock Capital Investment Corporation
BKCC
$1K ﹤0.01%
200
-200
-50% -$1.15K
RAD
1271
DELISTED
Rite Aid Corporation
RAD
$1K ﹤0.01%
85
-125
-60% -$2.64K
NUVA
1272
DELISTED
NuVasive, Inc.
NUVA
$1K ﹤0.01%
28
– –
NOVN
1273
DELISTED
Novan, Inc. Common Stock
NOVN
$1K ﹤0.01%
100
– –
NUAN
1274
DELISTED
Nuance Communications, Inc.
NUAN
$1K ﹤0.01%
155
– –
SC
1275
DELISTED
SANTANDER CONSUMER USA HOLDINGS INC
SC
$1K ﹤0.01%
67
– –
49 50
51
52 53

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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.