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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IDU icon
1276
iShares US Utilities ETF
IDU
$1.37B
$3K ﹤0.01%
50
– –
INDA icon
1277
iShares MSCI India ETF
INDA
$6.6B
$3K ﹤0.01%
100
– –
KODK icon
1278
Kodak
KODK
$987M
$3K ﹤0.01%
+350
New +$2.73K
KYN icon
1279
Kayne Anderson Energy Infrastructure Fund
KYN
$2.48B
$3K ﹤0.01%
1,000
– –
LAD icon
1280
Lithia Motors
LAD
$8.32B
$3K ﹤0.01%
15
– –
LBTYK icon
1281
Liberty Global Class C
LBTYK
$3.4B
$3K ﹤0.01%
156
– –
MKSI icon
1282
MKS Inc
MKSI
$19.9B
$3K ﹤0.01%
33
– –
NOV icon
1283
NOV
NOV
$7.49B
$3K ﹤0.01%
426
-102
-19% -$1.19K
NQP
1284
DELISTED
Nuveen Pennsylvania Quality Municipal Income Fund
NQP
$3K ﹤0.01%
+244
New +$3.36K
OFS icon
1285
OFS Capital
OFS
$48.6M
$3K ﹤0.01%
700
– –
PDM
1286
Piedmont Realty Trust
PDM
$1.17B
$3K ﹤0.01%
238
– –
PGEN icon
1287
Precigen
PGEN
$2.46B
$3K ﹤0.01%
1,000
– –
PJP icon
1288
Invesco Pharmaceuticals ETF
PJP
$498M
$3K ﹤0.01%
50
– –
PNR icon
1289
Pentair
PNR
$10.7B
$3K ﹤0.01%
83
– –
PPT
1290
Franklin Premier Income Trust
PPT
$332M
$3K ﹤0.01%
750
– –
QAI icon
1291
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.02B
$3K ﹤0.01%
100
– –
RLI icon
1292
RLI Corp
RLI
$5.87B
$3K ﹤0.01%
+72
New +$3.16K
RMAX icon
1293
RE/MAX Holdings
RMAX
$258M
$3K ﹤0.01%
100
– –
RVT icon
1294
Royce Value Trust
RVT
$2.3B
$3K ﹤0.01%
256
+4
+2% +$52
SKX
1295
DELISTED
Skechers
SKX
$3K ﹤0.01%
100
– –
SMTC icon
1296
Semtech
SMTC
$12.2B
$3K ﹤0.01%
+61
New +$3.43K
TRST
1297
Trustco Bank Corp NY
TRST
$953M
$3K ﹤0.01%
130
– –
VAC icon
1298
Marriott Vacations Worldwide
VAC
$3.95B
$3K ﹤0.01%
43
– –
VVR icon
1299
Invesco Senior Income Trust
VVR
$460M
$3K ﹤0.01%
875
– –
WERN icon
1300
Werner Enterprises
WERN
$2.18B
$3K ﹤0.01%
+87
New +$3.85K
50 51
52
53 54

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Carroll Financial Associates's Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.