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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
SEIC icon
1251
SEI Investments
SEIC
$12.6B
$5K ﹤0.01%
+90
New +$5.6K
SPSB icon
1252
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
$10.8B
$5K ﹤0.01%
+184
New +$5.67K
TMUS icon
1253
T-Mobile US
TMUS
$190B
$5K ﹤0.01%
67
– –
TRST
1254
Trustco Bank Corp NY
TRST
$938M
$5K ﹤0.01%
130
– –
TTE icon
1255
TotalEnergies
TTE
$190B
$5K ﹤0.01%
94
-189
-67% -$9.99K
VAC icon
1256
Marriott Vacations Worldwide
VAC
$4.25B
$5K ﹤0.01%
44
– –
VPL icon
1257
Vanguard FTSE Pacific ETF
VPL
$8.44B
$5K ﹤0.01%
+80
New +$5.49K
VVV icon
1258
Valvoline
VVV
$4.51B
$5K ﹤0.01%
266
– –
XRX icon
1259
Xerox
XRX
$425M
$5K ﹤0.01%
150
– –
RCM
1260
DELISTED
R1 RCM Inc. Common Stock
RCM
$5K ﹤0.01%
450
– –
SWN
1261
DELISTED
Southwestern Energy Company
SWN
$5K ﹤0.01%
2,375
– –
HNGR
1262
DELISTED
Hanger Inc.
HNGR
$5K ﹤0.01%
+200
New +$4.75K
RP
1263
DELISTED
RealPage, Inc.
RP
$5K ﹤0.01%
111
– –
ACA icon
1264
Arcosa
ACA
$7.11B
$4K ﹤0.01%
94
– –
ANIK icon
1265
Anika Therapeutics
ANIK
$287M
$4K ﹤0.01%
96
– –
BGS icon
1266
B&G Foods
BGS
$286M
$4K ﹤0.01%
248
– –
CACC icon
1267
Credit Acceptance
CACC
$6.08B
$4K ﹤0.01%
+11
New +$4.85K
CC icon
1268
Chemours
CC
$2.37B
$4K ﹤0.01%
261
-620
-70% -$10.3K
CHD icon
1269
Church & Dwight Co
CHD
$24.5B
$4K ﹤0.01%
64
– –
CIK
1270
Credit Suisse Asset Management Income Fund
CIK
$134M
$4K ﹤0.01%
1,373
– –
CNK icon
1271
Cinemark Holdings
CNK
$4.32B
$4K ﹤0.01%
136
– –
CNO icon
1272
CNO Financial Group
CNO
$5.1B
$4K ﹤0.01%
239
– –
CTRA
1273
DELISTED
Coterra Energy
CTRA
$4K ﹤0.01%
280
-33
-11% -$573
DES icon
1274
WisdomTree US SmallCap Dividend Fund
DES
$2.22B
$4K ﹤0.01%
171
– –
ENS icon
1275
EnerSys
ENS
$6.99B
$4K ﹤0.01%
64
– –
49 50
51
52 53

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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.