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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
-0.55%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.79B
AUM Growth
+$22.2M
Cap. Flow
+$37.5M
Cap. Flow %
2.1%
Top 10 Hldgs %
43.07%
Holding
2,036
New
245
Increased
533
Reduced
393
Closed
104

Top Buys

Rank Stock Value
1
ARMR
Armor US Equity Index ETF
ARMR
+$16.3M
2
SPD icon
Simplify US Equity PLUS Downside Convexity ETF
SPD
+$9.62M
3
VFMF icon
Vanguard US Multifactor ETF
VFMF
+$4.73M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.93M
5
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$3.78M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.86M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.21M
3
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$2.99M
4
ADER
26 Capital Acquisition Corp
ADER
+$2.49M
5
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$1.98M

Sector Composition

Rank Sector Weight
1 Technology 6.94%
2 Financials 5.81%
3 Healthcare 2.4%
4 Consumer Discretionary 2.07%
5 Consumer Staples 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ARKX icon
1301
ARK Space & Defense Innovation ETF
ARKX
$853M
$7K ﹤0.01%
374
– –
AVNS
1302
DELISTED
Avanos Medical
AVNS
$7K ﹤0.01%
242
-91
-27% -$3.09K
BBN icon
1303
BlackRock Taxable Municipal Bond Trust
BBN
$984M
$7K ﹤0.01%
300
– –
BIL icon
1304
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
$46.7B
$7K ﹤0.01%
82
– –
BIO icon
1305
Bio-Rad Laboratories Class A
BIO
$9.48B
$7K ﹤0.01%
10
+3
+43% +$2.25K
BKT icon
1306
BlackRock Income Trust
BKT
$342M
$7K ﹤0.01%
426
– –
BTAL icon
1307
AGF US Market Neutral Anti-Beta Fund
BTAL
$304M
$7K ﹤0.01%
+450
New +$7.72K
CNP icon
1308
CenterPoint Energy
CNP
$26.4B
$7K ﹤0.01%
308
– –
CTRA
1309
DELISTED
Coterra Energy
CTRA
$7K ﹤0.01%
342
– –
EHC icon
1310
Encompass Health
EHC
$12.4B
$7K ﹤0.01%
118
– –
EIS icon
1311
iShares MSCI Israel ETF
EIS
$888M
$7K ﹤0.01%
100
– –
EXI icon
1312
iShares Global Industrials ETF
EXI
$1.47B
$7K ﹤0.01%
65
– –
FAX
1313
abrdn Asia-Pacific Income Fund
FAX
$604M
$7K ﹤0.01%
289
– –
FTSM icon
1314
First Trust Enhanced Short Maturity ETF
FTSM
$6.54B
$7K ﹤0.01%
126
– –
IRTC icon
1315
iRhythm Holdings
IRTC
$4.11B
$7K ﹤0.01%
120
– –
MYD
1316
DELISTED
BlackRock MuniYield Fund
MYD
$7K ﹤0.01%
512
– –
OFS icon
1317
OFS Capital
OFS
$48.8M
$7K ﹤0.01%
700
– –
OKTA icon
1318
Okta
OKTA
$26.2B
$7K ﹤0.01%
30
+5
+20% +$1.24K
PEJ icon
1319
Invesco Leisure and Entertainment ETF
PEJ
$306M
$7K ﹤0.01%
145
– –
PSP icon
1320
Invesco Global Listed Private Equity ETF
PSP
$244M
$7K ﹤0.01%
100
+3
+3% +$239
QS icon
1321
QuantumScape Corp
QS
$3.81B
$7K ﹤0.01%
300
– –
RWL icon
1322
Invesco S&P 500 Revenue ETF
RWL
$9.95B
$7K ﹤0.01%
100
– –
SABA
1323
Saba Capital Income & Opportunities Fund II
SABA
$223M
$7K ﹤0.01%
715
– –
SPOT icon
1324
Spotify
SPOT
$105B
$7K ﹤0.01%
34
– –
TSI
1325
TCW Strategic Income Fund
TSI
$213M
$7K ﹤0.01%
1,250
– –
51 52
53
54 55

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Carroll Financial Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Carroll Financial Associates held 2,036 positions worth $1.79B, up 1.3% from $1.77B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Carroll Financial Associates's Q3 2021 filing shows 245 new, 533 increased, 393 reduced and 104 closed positions. Its largest new stake was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $8.86M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2021 buy was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M.
  • Carroll Financial Associates added most to Armor US Equity Index ETF in Q3 2021, an estimated $16.3M increase.
  • Carroll Financial Associates's biggest Q3 2021 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.86M.
  • Carroll Financial Associates fully exited VanEck Semiconductor ETF in Q3 2021, selling an estimated $838K.
  • Carroll Financial Associates's ten largest holdings make up 43% of its $1.79B portfolio in Q3 2021.
  • Carroll Financial Associates opened 245 new positions and closed 104 in Q3 2021.
  • Carroll Financial Associates's portfolio value rose 1.3% quarter-over-quarter to $1.79B.

Based on Carroll Financial Associates's 13F filing for Q3 2021, filed 7 Oct 2021.