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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
KSU
1276
DELISTED
Kansas City Southern
KSU
$1K ﹤0.01%
11
– –
LOGM
1277
DELISTED
LogMein, Inc.
LOGM
$1K ﹤0.01%
12
– –
CHK.PRD
1278
DELISTED
Chesapeake Energy Corp. 4.5% Cum. Cnvrtbl. Prfrd. Stock
CHK.PRD
$1K ﹤0.01%
37
– –
SRF
1279
DELISTED
THE CUSHING ROYALTY & INCOME FUND
SRF
$1K ﹤0.01%
140
– –
CFRX
1280
DELISTED
ContraFect Corporation
CFRX
$1K ﹤0.01%
3
– –
GNCA
1281
DELISTED
Genocea Biosciences, Inc.
GNCA
$1K ﹤0.01%
375
-250
-40% -$1.24K
AAP icon
1282
Advance Auto Parts
AAP
$3.49B
– –
-40
Closed -$6K
AER icon
1283
AerCap
AER
$23.8B
$0 ﹤0.01%
22
– –
AG icon
1284
First Majestic Silver
AG
$9.07B
– –
-891
Closed -$5K
AIRI icon
1285
Air Industries Group
AIRI
$12.8M
$0 ﹤0.01%
1
– –
AMG icon
1286
Affiliated Managers Group
AMG
$9.76B
$0 ﹤0.01%
6
– –
AQB icon
1287
AquaBounty Technologies
AQB
$6.02M
$0 ﹤0.01%
1
– –
ARLO icon
1288
Arlo Technologies
ARLO
$1.65B
$0 ﹤0.01%
+49
New +$588
ASM
1289
Avino Silver & Gold Mines
ASM
$1.2B
– –
-5,800
Closed -$3K
BATRA icon
1290
Atlanta Braves Holdings Series A
BATRA
$3.43B
$0 ﹤0.01%
7
– –
BATRK icon
1291
Atlanta Braves Holdings Series B
BATRK
$3.21B
$0 ﹤0.01%
17
– –
BFH icon
1292
Bread Financial
BFH
$4.38B
$0 ﹤0.01%
5
– –
BTZ icon
1293
BlackRock Credit Allocation Income Trust
BTZ
$956M
– –
-4,000
Closed -$48K
CALM icon
1294
Cal-Maine
CALM
$3.99B
– –
-2,840
Closed -$137K
CENN icon
1295
Cenntro
CENN
$8.43M
– –
0
– -$1K
CMBS icon
1296
iShares CMBS ETF
CMBS
$472M
– –
-251
Closed -$12K
CRDF icon
1297
Cardiff Oncology
CRDF
$77.2M
$0 ﹤0.01%
21
– –
CRON
1298
Cronos Group
CRON
$1.14B
$0 ﹤0.01%
+40
New +$385
CWI icon
1299
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.85B
$0 ﹤0.01%
29
– –
DAN icon
1300
Dana Inc
DAN
$3.06B
$0 ﹤0.01%
38
– –
50 51
52
53 54

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RFA
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RM
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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.