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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
SH icon
1301
ProShares Short S&P500
SH
$846M
$4K ﹤0.01%
56
– –
SMTC icon
1302
Semtech
SMTC
$12.2B
$4K ﹤0.01%
61
– –
TEAM icon
1303
Atlassian
TEAM
$39.1B
$4K ﹤0.01%
+20
New +$4.23K
TRST
1304
Trustco Bank Corp NY
TRST
$953M
$4K ﹤0.01%
130
– –
TSN icon
1305
Tyson Foods
TSN
$19.9B
$4K ﹤0.01%
69
-114
-62% -$7.09K
UA icon
1306
Under Armour Class C
UA
$2.23B
$4K ﹤0.01%
297
– –
VRAI icon
1307
Virtus Real Asset Income ETF
VRAI
$18.4M
$4K ﹤0.01%
+210
New +$4.46K
EQIN
1308
Columbia U.S. Equity Income ETF
EQIN
$315M
$4K ﹤0.01%
167
– –
BCPC
1309
Balchem Corp
BCPC
$5.71B
$4K ﹤0.01%
39
– –
HA
1310
DELISTED
Hawaiian Holdings, Inc.
HA
$4K ﹤0.01%
256
-37
-13% -$626
NS
1311
DELISTED
NuStar Energy L.P.
NS
$4K ﹤0.01%
300
-153
-34% -$1.96K
AEL
1312
DELISTED
American Equity Investment Life Holding Company
AEL
$4K ﹤0.01%
145
-1
-0.7% -$28
HEXO
1313
DELISTED
HEXO Corp. Common Shares
HEXO
$4K ﹤0.01%
+80
New +$3.79K
SEAC
1314
DELISTED
Seachange International Inc
SEAC
$4K ﹤0.01%
175
– –
BNFT
1315
DELISTED
Benefitfocus, Inc.
BNFT
$4K ﹤0.01%
330
– –
HNGR
1316
DELISTED
Hanger Inc.
HNGR
$4K ﹤0.01%
200
– –
DISCK
1317
DELISTED
Discovery, Inc. Series C Common Stock
DISCK
$4K ﹤0.01%
156
– –
MBT
1318
DELISTED
Mobile TeleSystems Public Joint Stock Company American Depositary Shares (Each representing 2 Shares
MBT
$4K ﹤0.01%
536
– –
AA icon
1319
Alcoa
AA
$14.3B
$3K ﹤0.01%
160
– –
ACM icon
1320
Aecom
ACM
$8.62B
$3K ﹤0.01%
65
– –
AGZD icon
1321
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
$136M
$3K ﹤0.01%
156
-232,688
-100% -$5.47M
BGY icon
1322
BlackRock Enhanced International Dividend Trust
BGY
$534M
$3K ﹤0.01%
622
– –
BSVN icon
1323
Bank7 Corp
BSVN
$486M
$3K ﹤0.01%
233
– –
CE icon
1324
Celanese
CE
$4.92B
$3K ﹤0.01%
30
-14
-32% -$1.74K
COLB icon
1325
Columbia Banking Systems
COLB
$8.97B
$3K ﹤0.01%
93
– –
51 52
53
54 55

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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.