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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
DELL icon
1301
Dell
DELL
$293B
– –
-549
Closed -$14K
EFG icon
1302
iShares MSCI EAFE Growth ETF
EFG
$17.3B
– –
-100
Closed -$8K
EFV icon
1303
iShares MSCI EAFE Value ETF
EFV
$30.2B
– –
-70
Closed -$3K
EIX icon
1304
Edison International
EIX
$26.4B
$0 ﹤0.01%
12
– –
EPR icon
1305
EPR Properties
EPR
$4.77B
– –
-235
Closed -$16K
EQAL icon
1306
Invesco Russell 1000 Equal Weight ETF
EQAL
$838M
– –
-1,000
Closed -$33K
ERIC icon
1307
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
60
– –
ESGD icon
1308
iShares ESG Aware MSCI EAFE ETF
ESGD
$12.3B
$0 ﹤0.01%
16
– –
ESGE icon
1309
iShares ESG Aware MSCI EM ETF
ESGE
$6.73B
$0 ﹤0.01%
32
– –
EWD icon
1310
iShares MSCI Sweden ETF
EWD
$595M
$0 ﹤0.01%
20
– –
FAZ
1311
Direxion Daily Financial Bear 3x ETF
FAZ
$86.7M
– –
0
– –
FLC
1312
Flaherty & Crumrine Total Return Fund
FLC
$175M
– –
-450
Closed -$8K
FMS icon
1313
Fresenius Medical Care
FMS
$12.9B
– –
-318
Closed -$16K
FNCL icon
1314
Fidelity MSCI Financials Index ETF
FNCL
$2.4B
– –
-1,260
Closed -$50K
FNDC icon
1315
Schwab Fundamental International Small Company Index ETF
FNDC
$3.16B
$0 ﹤0.01%
18
– –
FNDE icon
1316
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$10B
$0 ﹤0.01%
29
– –
FNDF icon
1317
Schwab Fundamental International Large Company Index ETF
FNDF
$25.7B
$0 ﹤0.01%
29
– –
GEM icon
1318
Goldman Sachs ActiveBeta Emerging Markets Equity ETF
GEM
$1.72B
$0 ﹤0.01%
+1
New +$31
GT icon
1319
Goodyear
GT
$1.85B
$0 ﹤0.01%
36
-20
-36% -$433
HAE icon
1320
Haemonetics
HAE
$4B
– –
-92
Closed -$10K
HEI.A icon
1321
HEICO Corp Class A
HEI.A
$37.2B
$0 ﹤0.01%
15
– –
HEQ
1322
John Hancock Hedged Equity & Income Fund
HEQ
$140M
– –
-442
Closed -$6K
HP icon
1323
Helmerich & Payne
HP
$3.71B
$0 ﹤0.01%
19
– –
HRI icon
1324
Herc Holdings
HRI
$5.61B
$0 ﹤0.01%
13
– –
HTD
1325
John Hancock Tax-Advantaged Dividend Income Fund
HTD
$900M
– –
-3,257
Closed -$75K
51 52
53
54 55

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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.