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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DISCK
1301
DELISTED
Discovery, Inc. Series C Common Stock
DISCK
$4K ﹤0.01%
156
– –
WBC
1302
DELISTED
WABCO HOLDINGS INC.
WBC
$4K ﹤0.01%
33
– –
MBT
1303
DELISTED
Mobile TeleSystems Public Joint Stock Company American Depositary Shares (Each representing 2 Shares
MBT
$4K ﹤0.01%
399
-53
-12% -$485
AA icon
1304
Alcoa
AA
$13.2B
$3K ﹤0.01%
160
– –
ACB
1305
Aurora Cannabis
ACB
$185M
$3K ﹤0.01%
13
-1
-7% -$373
AGZ icon
1306
iShares Agency Bond ETF
AGZ
$565M
$3K ﹤0.01%
30
– –
APA icon
1307
APA Corp
APA
$13.2B
$3K ﹤0.01%
151
– –
BLDP
1308
Ballard Power Systems
BLDP
$790M
$3K ﹤0.01%
500
– –
CE icon
1309
Celanese
CE
$4.82B
$3K ﹤0.01%
30
– –
COLB icon
1310
Columbia Banking Systems
COLB
$8.84B
$3K ﹤0.01%
93
– –
CX icon
1311
Cemex
CX
$16.3B
$3K ﹤0.01%
871
– –
DBC icon
1312
Invesco DB Commodity Index Tracking Fund
DBC
$1.66B
$3K ﹤0.01%
219
+4
+2% +$62
EA
1313
DELISTED
Electronic Arts
EA
$3K ﹤0.01%
29
– –
EVRG icon
1314
Evergy
EVRG
$19.2B
$3K ﹤0.01%
51
– –
FANG icon
1315
Diamondback Energy
FANG
$52.7B
$3K ﹤0.01%
42
– –
FIZZ icon
1316
National Beverage
FIZZ
$3.01B
$3K ﹤0.01%
134
-60
-31% -$1.44K
FXI icon
1317
iShares China Large-Cap ETF
FXI
$4.31B
$3K ﹤0.01%
69
– –
GMAB icon
1318
Genmab
GMAB
$19.5B
$3K ﹤0.01%
+162
New +$3.54K
HGLB
1319
Highland Global Allocation Fund
HGLB
$177M
$3K ﹤0.01%
352
– –
PPLI
1320
People Inc
PPLI
$3.1B
$3K ﹤0.01%
78
– –
ICUI icon
1321
ICU Medical
ICUI
$4.61B
$3K ﹤0.01%
20
– –
IXP icon
1322
iShares Global Comm Services ETF
IXP
$572M
$3K ﹤0.01%
65
– –
JKHY icon
1323
Jack Henry & Associates
JKHY
$11.1B
$3K ﹤0.01%
24
– –
JLL icon
1324
Jones Lang LaSalle
JLL
$16.7B
$3K ﹤0.01%
18
– –
KEYS icon
1325
Keysight
KEYS
$58.3B
$3K ﹤0.01%
34
– –
51 52
53
54 55

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6M
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RFA
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CCT
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RM
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Carroll Financial Associates's Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

By sector, the portfolio is most concentrated in Financials at 6.8% of assets, down from 6.9% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.