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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
JPEM icon
1326
JPMorgan Diversified Return Emerging Markets Equity ETF
JPEM
$395M
$0 ﹤0.01%
16
+5
+45% +$272
LILA icon
1327
Liberty Latin America Class A
LILA
$1.67B
$0 ﹤0.01%
25
– –
LOGI icon
1328
Logitech
LOGI
$15.2B
$0 ﹤0.01%
10
– –
LYV icon
1329
Live Nation Entertainment
LYV
$42.1B
$0 ﹤0.01%
16
– –
MAA icon
1330
Mid-America Apartment Communities
MAA
$15.7B
– –
-200
Closed -$20K
MHI
1331
DELISTED
Pioneer Municipal High Income Fund
MHI
– –
-460
Closed -$5K
MT icon
1332
ArcelorMittal
MT
$55.3B
$0 ﹤0.01%
2
– –
MVV icon
1333
ProShares Ultra MidCap400
MVV
$163M
– –
-72
Closed -$3K
NRG icon
1334
NRG Energy
NRG
$24.8B
$0 ﹤0.01%
8
– –
NRT
1335
North European Oil Royalty Trust
NRT
$81M
$0 ﹤0.01%
65
– –
NWSA icon
1336
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
40
– –
OMEX icon
1337
Odyssey Marine Exploration
OMEX
$51.8M
$0 ﹤0.01%
9
– –
PCAR icon
1338
PACCAR
PCAR
$70.1B
– –
-14
Closed –
PFIG icon
1339
Invesco Fundamental Investment Grade Corporate Bond ETF
PFIG
$118M
$0 ﹤0.01%
24
+3
+14% +$74
PHK
1340
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PICB icon
1341
Invesco International Corporate Bond ETF
PICB
$362M
$0 ﹤0.01%
26
+4
+18% +$104
PII icon
1342
Polaris
PII
$4.07B
$0 ﹤0.01%
+8
New +$893
PIPR icon
1343
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
– –
PRTA icon
1344
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
RGT
1345
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
RNP icon
1346
Cohen & Steers REIT and Preferred and Income Fund
RNP
$989M
– –
-163,106
Closed -$3.17M
RRC icon
1347
Range Resources
RRC
$8.95B
$0 ﹤0.01%
50
– –
ECHO
1348
EchoStar
ECHO
$26.2B
$0 ﹤0.01%
22
– –
SCHA icon
1349
Schwab U.S Small- Cap ETF
SCHA
$23.1B
$0 ﹤0.01%
28
– –
SCHC icon
1350
Schwab International Small-Cap Equity ETF
SCHC
$5.65B
$0 ﹤0.01%
12
– –
52 53
54
55 56

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NFG
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6M
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RFA
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CCT
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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.