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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
+7.86%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$945M
AUM Growth
+$7.99M
Cap. Flow
-$46.8M
Cap. Flow %
-4.95%
Top 10 Hldgs %
50.8%
Holding
1,410
New
76
Increased
353
Reduced
179
Closed
32

Top Buys

Rank Stock Value
1
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.03M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$2.43M
3
PXH icon
Invesco FTSE RAFI Emerging Markets ETF
PXH
+$1.69M
4
GRES
IQ ARB Global Resources
GRES
+$1.28M
5
TFC icon
Truist Financial
TFC
+$558K

Top Sells

Rank Stock Value
1
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$24.8M
2
SCIU
Global X Scientific Beta US ETF
SCIU
+$9.87M
3
GSLC icon
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
+$7.2M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$3.49M
5
RNP icon
Cohen & Steers REIT and Preferred and Income Fund
RNP
+$3.17M

Sector Composition

Rank Sector Weight
1 Financials 7.96%
2 Technology 6.05%
3 Healthcare 3.89%
4 Energy 3.23%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BATRK icon
1301
Atlanta Braves Holdings Series B
BATRK
$3.21B
$0 ﹤0.01%
17
– –
BFH icon
1302
Bread Financial
BFH
$4.38B
$0 ﹤0.01%
5
– –
BWA icon
1303
BorgWarner
BWA
$13.9B
– –
-442
Closed -$16K
CPT icon
1304
Camden Property Trust
CPT
$11.3B
– –
-80
Closed -$7K
CRDF icon
1305
Cardiff Oncology
CRDF
$77.2M
$0 ﹤0.01%
+21
New +$99
CWI icon
1306
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.85B
$0 ﹤0.01%
29
– –
CYH icon
1307
Community Health Systems
CYH
$423M
– –
-13
Closed –
DAN icon
1308
Dana Inc
DAN
$3.06B
$0 ﹤0.01%
38
– –
DBJP icon
1309
Xtrackers MSCI Japan Hedged Equity ETF
DBJP
$705M
– –
-1,100
Closed -$45K
EIX icon
1310
Edison International
EIX
$26.4B
$0 ﹤0.01%
12
– –
ENFR icon
1311
Alerian Energy Infrastructure ETF
ENFR
$511M
– –
-1,682
Closed -$37K
ERIC icon
1312
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
60
– –
EWD icon
1313
iShares MSCI Sweden ETF
EWD
$595M
$0 ﹤0.01%
20
– –
FAZ
1314
Direxion Daily Financial Bear 3x ETF
FAZ
$86.7M
– –
0
– –
FBIN icon
1315
Fortune Brands Innovations
FBIN
$6.06B
– –
-1,872
Closed -$85K
FNDC icon
1316
Schwab Fundamental International Small Company Index ETF
FNDC
$3.16B
$0 ﹤0.01%
18
– –
FNDE icon
1317
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$10B
$0 ﹤0.01%
29
– –
FNDF icon
1318
Schwab Fundamental International Large Company Index ETF
FNDF
$25.7B
$0 ﹤0.01%
29
– –
GGZ
1319
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$127M
$0 ﹤0.01%
32
– –
HRI icon
1320
Herc Holdings
HRI
$5.61B
$0 ﹤0.01%
13
– –
IBND icon
1321
State Street SPDR Bloomberg International Corporate Bond ETF
IBND
$463M
$0 ﹤0.01%
3
-1
-25% -$34
BRSL
1322
Brightstar Lottery PLC
BRSL
$2.03B
– –
-54
Closed -$1K
IMNN icon
1323
Imunon
IMNN
$6.77M
– –
0
– –
INTU icon
1324
Intuit
INTU
$89B
– –
-8
Closed -$1K
ISCV icon
1325
iShares Morningstar Small-Cap Value ETF
ISCV
$706M
$0 ﹤0.01%
6
– –
51 52
53
54 55

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NFG
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6M
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RFA
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CCT
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C
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CC
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RM
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Carroll Financial Associates's Q3 2018 Portfolio in Review

As of Q3 2018, Carroll Financial Associates held 1,410 positions worth $945M, up 0.85% from $937M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Carroll Financial Associates withdrew a net $46.8M in Q3 2018, closing 32 positions and reducing 179 holdings. Its most notable exit was Cohen & Steers REIT and Preferred and Income Fund, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8% of assets, up from 7.8% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Carroll Financial Associates opened a new position in Schwab Short-Term US Treasury ETF worth $239K.

  • Carroll Financial Associates's largest Q3 2018 buy was Schwab Short-Term US Treasury ETF: 9,680 shares worth $239K.
  • Carroll Financial Associates added most to WisdomTree Bloomberg Floating Rate Treasury Fund in Q3 2018, an estimated $3.03M increase.
  • Carroll Financial Associates's biggest Q3 2018 reduction was WisdomTree Trust WisdomTree US Quality Dividend Growth Fund, cutting an estimated $24.8M.
  • Carroll Financial Associates fully exited Cohen & Steers REIT and Preferred and Income Fund in Q3 2018, selling an estimated $3.17M.
  • Carroll Financial Associates's ten largest holdings make up 51% of its $945M portfolio in Q3 2018.
  • Carroll Financial Associates opened 76 new positions and closed 32 in Q3 2018.
  • Carroll Financial Associates's portfolio value rose 0.85% quarter-over-quarter to $945M.

Based on Carroll Financial Associates's 13F filing for Q3 2018, filed 30 Oct 2018.