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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
DGICA icon
1251
Donegal Group Class A
DGICA
$693M
$5K ﹤0.01%
397
-215
-35% -$3.09K
ENS icon
1252
EnerSys
ENS
$6.79B
$5K ﹤0.01%
64
– –
EWU icon
1253
iShares MSCI United Kingdom ETF
EWU
$4.13B
$5K ﹤0.01%
185
– –
FIZZ icon
1254
National Beverage
FIZZ
$2.89B
$5K ﹤0.01%
134
– –
FXD icon
1255
First Trust Consumer Discretionary AlphaDEX Fund
FXD
$273M
$5K ﹤0.01%
100
– –
GNW icon
1256
Genworth Financial
GNW
$3.7B
$5K ﹤0.01%
1,457
– –
HHH icon
1257
Howard Hughes
HHH
$4B
$5K ﹤0.01%
76
-1
-1% -$67
KYN icon
1258
Kayne Anderson Energy Infrastructure Fund
KYN
$2.48B
$5K ﹤0.01%
1,000
– –
MQY icon
1259
BlackRock MuniYield Quality Fund
MQY
$814M
$5K ﹤0.01%
335
– –
MUX icon
1260
McEwen Inc
MUX
$1.17B
$5K ﹤0.01%
520
– –
NCV
1261
Virtus Convertible & Income Fund
NCV
$393M
$5K ﹤0.01%
247
– –
NGG icon
1262
National Grid
NGG
$80.7B
$5K ﹤0.01%
113
+111
+5,550% +$5.89K
OFS icon
1263
OFS Capital
OFS
$48.6M
$5K ﹤0.01%
700
– –
PEJ icon
1264
Invesco Leisure and Entertainment ETF
PEJ
$307M
$5K ﹤0.01%
145
– –
QQEW icon
1265
First Trust Nasdaq-100 Select Equal Weight ETF
QQEW
$1.84B
$5K ﹤0.01%
50
– –
RYN icon
1266
Rayonier
RYN
$6.45B
$5K ﹤0.01%
192
– –
SEIC icon
1267
SEI Investments
SEIC
$12.6B
$5K ﹤0.01%
90
– –
SPH icon
1268
Suburban Propane Partners
SPH
$1.17B
$5K ﹤0.01%
360
-175
-33% -$2.81K
TAK icon
1269
Takeda Pharmaceutical
TAK
$55.8B
$5K ﹤0.01%
321
– –
VAC icon
1270
Marriott Vacations Worldwide
VAC
$3.95B
$5K ﹤0.01%
43
– –
VNT icon
1271
Vontier
VNT
$4.61B
$5K ﹤0.01%
+179
New +$5.52K
XLG icon
1272
Invesco S&P 500 Top 50 ETF
XLG
$10.9B
$5K ﹤0.01%
190
– –
MRO
1273
DELISTED
Marathon Oil Corporation
MRO
$5K ﹤0.01%
837
-5,031
-86% -$27K
SOLN
1274
DELISTED
The Southern Company
SOLN
$5K ﹤0.01%
115
– –
NUAN
1275
DELISTED
Nuance Communications, Inc.
NUAN
$5K ﹤0.01%
134
– –
49 50
51
52 53

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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.