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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
CHL
1276
DELISTED
China Mobile Limited
CHL
$5K ﹤0.01%
206
-365
-64% -$11.3K
BIL icon
1277
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
$46.7B
$4K ﹤0.01%
45
-3
-6% -$275
BIO icon
1278
Bio-Rad Laboratories Class A
BIO
$9.53B
$4K ﹤0.01%
7
– –
CIK
1279
Credit Suisse Asset Management Income Fund
CIK
$135M
$4K ﹤0.01%
1,373
– –
CLOU icon
1280
Global X Cloud Computing ETF
CLOU
$270M
$4K ﹤0.01%
+157
New +$4.03K
CLW icon
1281
Clearwater Paper
CLW
$366M
$4K ﹤0.01%
119
– –
CX icon
1282
Cemex
CX
$16.1B
$4K ﹤0.01%
869
-2
-0.2% -$9
CXW icon
1283
CoreCivic
CXW
$3.35B
$4K ﹤0.01%
616
– –
DES icon
1284
WisdomTree US SmallCap Dividend Fund
DES
$2.21B
$4K ﹤0.01%
173
+2
+1% +$49
DEW icon
1285
WisdomTree Global High Dividend Fund
DEW
$155M
$4K ﹤0.01%
113
+2
+2% +$81
DGP icon
1286
DB Gold Double Long ETN due February 15, 2038
DGP
$251M
$4K ﹤0.01%
100
– –
FEX icon
1287
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.61B
$4K ﹤0.01%
56
– –
FTDS icon
1288
First Trust Dividend Strength ETF
FTDS
$39.6M
$4K ﹤0.01%
+109
New +$4.07K
FXL icon
1289
First Trust Technology AlphaDEX Fund
FXL
$2.79B
$4K ﹤0.01%
+40
New +$4.05K
GH icon
1290
Guardant Health
GH
$22.2B
$4K ﹤0.01%
36
– –
HAL icon
1291
Halliburton
HAL
$28.2B
$4K ﹤0.01%
263
– –
INDA icon
1292
iShares MSCI India ETF
INDA
$6.6B
$4K ﹤0.01%
100
– –
IXP icon
1293
iShares Global Comm Services ETF
IXP
$567M
$4K ﹤0.01%
65
– –
LAD icon
1294
Lithia Motors
LAD
$8.32B
$4K ﹤0.01%
15
– –
LOCO icon
1295
El Pollo Loco
LOCO
$452M
$4K ﹤0.01%
276
– –
MKSI icon
1296
MKS Inc
MKSI
$19.9B
$4K ﹤0.01%
33
– –
PDBC icon
1297
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
$6.66B
$4K ﹤0.01%
317
-1,456
-82% -$20.7K
PMO
1298
Franklin Municipal Opportunities Trust
PMO
$285M
$4K ﹤0.01%
333
– –
PNR icon
1299
Pentair
PNR
$10.7B
$4K ﹤0.01%
83
– –
RVT icon
1300
Royce Value Trust
RVT
$2.3B
$4K ﹤0.01%
259
+3
+1% +$44
50 51
52
53 54

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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.